Proportionality Principles in American Law: Controlling Excessive Government Actions

PROPORTIONALITY PRINCIPLES IN AMERICAN LAW This page intentionally left blank PROPORTIONALITY PRINCIPLES IN AMERICA...

Author: E. Thomas Sullivan | Richard S. Frase

43 downloads 705 Views 2MB Size Report

This content was uploaded by our users and we assume good faith they have the permission to share this book. If you own the copyright to this book and it is wrongfully on our website, we offer a simple DMCA procedure to remove your content from our site. Start by pressing the button below!

Report copyright / DMCA form

DOWNLOAD PDF

PROPORTIONALITY PRINCIPLES IN AMERICAN LAW

This page intentionally left blank

PROPORTIONALITY PRINCIPLES IN AMERICAN LAW Controlling Excessive Government Actions

E. Thomas Sullivan Richard S. Frase

1 2009

1 Oxford University Press, Inc., publishes works that further Oxford University’s objective of excellence in research, scholarship, and education. Oxford New York Auckland Cape Town Dar es Salaam Hong Kong Karachi Kuala Lumpur Madrid Melbourne Mexico City Nairobi New Delhi Shanghai Taipei Toronto With ofﬁces in Argentina Austria Brazil Chile Czech Republic France Greece Guatemala Hungary Italy Japan Poland Portugal Singapore South Korea Switzerland Thailand Turkey Ukraine Vietnam

Copyright © 2009 by Oxford University Press, Inc. Published by Oxford University Press, Inc. 198 Madison Avenue, New York, New York 10016 www.oup.com Oxford is a registered trademark of Oxford University Press All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior permission of Oxford University Press. Library of Congress Cataloging-in-Publication Data Sullivan, E. Thomas. Proportionality principles in American law : controlling excessive government actions / E. Thomas Sullivan & Richard S. Frase. p. cm. Includes bibliographical references and index. ISBN 978-0-19-532493-8 1. Proportionality in law. I. Frase, Richard S. II. Title. K247.S85 2008 340'.11—dc22 2008006939

9 8 7 6 5 4 3 2 1 Printed in the United States of America on acid-free paper

The only stable form of government is where the rule of law reigns and does not depend on any person.

—immanuel kant

This page intentionally left blank

PREFACE

in this book we argue for more explicit and consistent application of proportionality principles when courts in the United States are called upon to decide whether a challenged government action is excessive. This normative argument is based in part on a descriptive claim that American courts are already widely applying various proportionality principles. But these courts rarely make explicit reference to proportionality, and when they do, the principles employed lack precise and consistent deﬁnition. Much of the problem is semantic. In the United States, when most people think of proportionality, they think of symmetry or balance (the relationship between a part and the whole, especially in human features, art, and architecture) or a constant ratio between two quantities (so that one varies in direct relation to the other). If people are thinking about government, they might think of proportional voting strength or representation, and if they are lawyers or philosophers, they might think about retributive theories of criminal punishment, which propose that penalties vary in relation to (or at least not greatly exceed) the offender’s culpability or “just deserts.” Independent of the latter theory, most American philosophers would also recognize that nonretributive (utilitarian) theories of punishment require that penalties be proportionate to the seriousness of the offense (measured by the social harm caused or risked by the crime, with consideration

viii

Preface

perhaps also being given to the need for greater penalties because the crime is difﬁcult to detect, hard to discourage, etc.). In the legal systems of other Western countries and in international and European regional law, these legal and philosophical proportionality principles are much more fully developed, and they are explicitly and frequently invoked when courts review legislative and executive actions and lower-court decisions. As in the United States, these foreign reviewing courts do not seek to substitute their own preferences as to the optimum or most proportionate solution to the matter at hand; instead, they recognize the greater institutional competence and/or the greater democratic legitimacy of the government actors whose decisions are under review and therefore conﬁne their oversight role to setting meaningful limits on the severity or intrusiveness of government measures. They seek, in other words, to safeguard citizens and other government actors from excessive government measures—to prevent clear cases of disproportionality. However, all proportionality concepts require an analytic or normative framework—proportionality relative to what? Foreign and international laws apply several well-deﬁned disproportionality concepts. Criminal penalties must not be disproportionate to retributive notions of culpability, and all government measures, whether criminal or civil, must not be disproportionate in two distinctive utilitarian senses: First, the costs or burdens of the measure must not clearly exceed the likely beneﬁts (a concept we refer to as “ends” or “ends-beneﬁts” proportionality). Second, the measure must not be clearly more costly or more burdensome than equally effective alternative measures (a concept of necessity and narrow tailoring that we refer to as “means” or “alternative-means” proportionality). American courts often invoke one or more of these three proportionality principles under a variety of doctrines that only occasionally use the language of proportionality. We discuss the many examples of implicit and occasionally explicit constitutional proportionality principles that U.S. courts apply. We also examine the historical origins of these principles in just war doctrines, brieﬂy survey the use of the principles in foreign and international law, and discuss early common law examples of proportionality concepts in the law of damages. We also note several contemporary uses of these concepts in nonconstitutional American law. We seek to more clearly deﬁne the different types of proportionality principles illustrated by these historical, international, and contemporary U.S. doctrines. By doing so, we hope to encourage American lawyers, judges, legislators, and legal philosophers to apply these principles more frequently and more consistently. However, we do not propose to substitute proportionality analysis for all existing standards of constitutional judicial review. In particular, we would retain strict scrutiny analysis in the areas where it currently applies; although strict scrutiny implicitly incorporates ends- and means-proportionality principles, we

Preface

ix

believe that fundamental rights and historically protected classes deserve the stronger protections provided by the rulelike presumptions of strict scrutiny. We also recognize that, in certain areas, reviewing courts have rightly applied absolute principles, for example, principles of human dignity that prohibit public whipping even if it is arguably proportional in all three of the senses we identify. Our proposed proportionality analysis would apply in areas now governed by rational basis review, by intermediate scrutiny standards, or by review standards that have not been assigned to any of the Supreme Court’s three levels of scrutiny. This project has beneﬁted greatly from the contributions of our student and administrative assistants, colleagues, and friends. For their diligent research assistance and source checking we are indebted to current and former students Rachel Anderson, Courtney Clixby, John Lassetter, Kelly Loudon, Aaron Marcus, Nick Smith, Eric Steinhoff, and Oleh Vretsona. Preparation of the manuscript was expertly supervised by secretary Julie Hunt. Helpful comments and suggestions on this project and related earlier works were provided by current and former colleagues and friends Brian Bix, Guy Charles, Joshua Dressler, Dan Farber, Barry Feld, Oren Gross, Wayne Logan, John Matheson, Marc Miller, Michael Paulsen, Kevin Reitz, Adam Samaha, Michael Tonry, David Weissbrodt, Ron Wright, and Frank Zimring. We also have beneﬁted greatly from the careful reading and useful comments of the publisher’s outside reviewers and from the suggestions and corrections of our editors. Minneapolis E.T.S. and R.S.F.

This page intentionally left blank

CONTENTS

Introduction

3

I ORIGINS From the Annals of History to the Twenty-ﬁrst Century

13

1 Proportionality in International and Foreign Law 2 Proportionality Principles in the Common Law of Damages

15 37

II PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

51

3 Implicit Proportionality Principles in American Standards of Constitutional Review 4 Explicit Proportionality Principles in Discrete Areas of American Jurisprudence III PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

53 67 91

5 Procedure Implicit Proportionality Limits on Police Powers and Defendant Rights

95

6 Criminal Law Implicit Proportionality Limitations on Criminal Liability

115

7 Punishment Explicit and Implicit Proportionality Limits on Sanction Severity

129

Conclusion

169

Notes Subject Index Case Index

175 251 277

This page intentionally left blank

PROPORTIONALITY PRINCIPLES IN AMERICAN LAW

This page intentionally left blank

INTRODUCTION

as states ﬁnd themselves more heavily involved in new areas of public life and as citizens are being further integrated into the polity, the tensions between the need for administrative and penal regulation, the advancement of social welfare, and individual autonomy become increasingly visible. True to their traditional role of upholding the rule of law and recognizing the vulnerability of the individual faced with coercive state power, courts in the United States and other Western nations have developed a variety of mechanisms to curtail government intrusion where it excessively impinges on individual rights and autonomy. Courts have also ruled on whether governmental action unduly invades the powers of another branch or level of government or whether an individual action invades the rights of other citizens. These issues have in common the need for courts to determine when a challenged action is excessive. More precisely, we argue, a reviewing court must decide whether the challenged action is disproportionate in one or more of the following senses—to the beneﬁts likely to be achieved by the action; to alternative methods of achieving those beneﬁts; or to the blameworthiness of a party subject to a penalty or compensation order. As discussed more fully below, we refer to the principles underlying these three review standards, respectively, as “ends-beneﬁts,” “alternative-means,” and “limiting retributive” proportionality principles. 3

4

PROPORTIONALITY PRINCIPLES IN AMERICAN LAW

Proportionality principles can take many forms, most of which are more familiar to readers than the three just described, so it is important to understand how the principles we discuss differ from those found in other contexts. In art and architecture, for example, proportionality refers to the balanced relationship between a part and the whole; in math and science it refers to a constant relationship between two quantities that vary in a ﬁxed ratio. The latter usage also occurs in political theory and election law, where writers and courts speak of proportional voting strength or representation; similar ﬁxed-ratio proportionality concepts appear in legal or informal contexts where co-owners or beneﬁciaries expect to vote or receive proceeds corresponding to their respective fractional shares. In criminal law and philosophy, proportionality is often discussed in relation to theories of punishment. The most common usage refers to the retributive punishment theories that underlie the limiting retributive principle we identify. A lesser-known usage, found in nonretributive (utilitarian) theories of punishment, corresponds to our ends-beneﬁts proportionality principle. A proportionality concept similar to the ends-beneﬁts principle has also been invoked as a limitation on rights to use force in self-defense, to arrest, or to protect property and prevent crime. One of the earliest applications of proportionality principles in law and philosophy is evident in the ancient concept of just war developed by prominent public and secular ﬁgures such as Cicero, Saint Augustine, Saint Aquinas, and Hugo Grotius. More recently, with the rise of the administrative state following World War II, proportionality principles have become important elements of the rule of law.1 These principles provide essential checks on government power, thus serving to preserve formal legality,2 maintain a just legal order, and reconcile the interests of the state, the polity, and its citizens so that state regulation produces more beneﬁt to the public interest than harm to individual autonomy.3 In each country the scope of application of the principle of proportionality depends largely on the extent of its acceptance and recognition of individual rights. In this matter, the differences among countries are ordinarily observed in the areas of social, economic, and cultural rights because the majority of government intervention takes place there, and countries usually differ in their level of recognition and enforcement of these rights. Civil and political rights generate more uniform government acceptance and protection. The welfare states (e.g., Germany and, to a lesser extent, France), as well as supranational political formations like the European Union, which afford comprehensive humanitarian protection, extensively use the principle of proportionality in testing the fairness of their legislation and administrative law. The principle enjoys limited application in laissez-faire countries such as the United States.4 The system of constitutional review in the United States affords the highest degree of protection to fundamental rights that are either enumerated in the

Introduction

5

Constitution5 or, while unenumerated, are “deeply rooted in the Nation’s history and tradition,” such as when the public has well-settled expectations.6 The Supreme Court cautiously avoids expressly deriving any of these rights from natural law principles,7 perhaps out of fear that the natural rights theory has no limiting principle that could curtail the power of the judiciary. The Court, nevertheless, recognizes that certain unenumerated rights are protected because they form part of the implicit, ordered liberty.8 Similar concerns with the prospect of vesting the Court with unlimited power to strike down federal and state laws whose general thrust does not coincide with the opinions of its majority9 have caused the Court to avoid widely using the Ninth Amendment10 for support of unenumerated rights.11 Rights that are considered less foundational to ordered liberty are afforded less protection under the rational basis review, and the majority of social, cultural, and economic rights fall under this category.12 Very limited review, perhaps not substantially exceeding rational basis, is also applied to the liberty interests of convicted offenders when they challenge lengthy prison terms imposed by statutes or courts.13 There is a strong presumption of constitutionality of government action involving these rights and liberty interests, with the Court affording a great amount of deference to the government.14 The Court reserves a more rigorous standard of judicial review, “strict scrutiny,” for the protection of a narrow category of fundamental rights—the rights and equal protection of certain discrete and insular minorities—and of the political processes designed to safeguard the rights of such minorities.15 An approach of intermediate scrutiny provides medium-to-high protection in certain contexts, including gender discrimination,16 state encroachment of federal powers,17 and violation of the freedom of speech by content-neutral regulation of speech.18 As discussed in later chapters, intermediate scrutiny (albeit implicit rather than explicit) is also the approach applied to criminal procedure standards, imposition of criminal liability without fair notice, eligibility for the death penalty, and the use of severe ﬁnes and forfeitures. The narrow deﬁnition of fundamental rights that are afforded strong judicial protection in American jurisprudence, combined with the presumption of constitutionality, deprive many individual, social, and economic rights of meaningful protection against government intrusion. The Supreme Court has recently identiﬁed several areas of economic and social regulation that require heightened scrutiny, and the Court has explicitly invoked proportionality principles. These areas include the use of punitive damages,19 land-use permit conditions,20 civil forfeitures,21 and criminal punishment.22 Finally, the Court’s concern that Congress’s broad remedial powers under Section 5 of the Fourteenth Amendment, if unchecked, would be damaging to the states, has led to the judicial curtailment of these powers through the principle of “congruence and proportionality.” 23

6

PROPORTIONALITY PRINCIPLES IN AMERICAN LAW

The Court’s express move in these areas toward proportionality as an instrumental principle of review is commendable. It is also in line with the speciﬁc forms of proportionality analysis described later, which, as we show, are implicit in many of the Court’s doctrines. Yet, the Court’s arbitrary application of express notions of proportionality in a few select areas, while failing to recognize its importance in other areas of judicial review, undermines the doctrinal value of the principle of proportionality: It seems that the Court’s intention in using the term “proportionality” was to increase the intensity of judicial review in the select areas from rational basis to a more rigorous standard of review, thus reducing proportionality to a role of a quasi standard of review placed somewhere between rational basis and intermediate scrutiny on a continuum of intensity of judicial review. A better approach for the Court, we argue, would be to recognize the instrumental role of proportionality in any standard of judicial review of government action. This book ﬁrst identiﬁes the many forms that proportionality standards have taken and categorizes and more clearly deﬁnes them. Our principal theses are the following: (1) that proportionality review is emerging in U.S. law but is not yet a uniﬁed theory; (2) that proportionality, even when explicitly invoked, has not been applied in a coherent fashion; (3) that proportionality standards should be more clearly deﬁned along the lines we suggest; and (4) that every intrusive government measure that limits or threatens individual rights and autonomy should undergo some form of proportionality review. We do, however, suggest retaining the more restrictive, context-speciﬁc standards that apply under strict scrutiny review, as well as certain absolute prohibitions such as those imposed by principles of human dignity. Our focus is thus on public law and civil liberties. However, to demonstrate the wide variety of proportionality principles and the broad support for them, we also discuss examples broader than government-versus-citizen issues. In addition, we cite instances from foreign, regional, and international law in which proportionality review is explicitly and frequently employed.24 Courts and legislatures use a number of retributive and utilitarian proportionality principles as guides when deciding whether a given measure is excessive.25 Retributive proportionality strives to ensure a proportional relation between the punishment or award of damages and the actor’s blameworthiness, as measured by the harm caused and the actor’s intent, motives, mental capacity, and contributory role in joint conduct. While a pure retributivist approach recognizes blameworthiness as the sole evaluative criterion, limiting retributivism, or modiﬁed just deserts, utilizes retributive proportionality principles to deﬁne a range of appropriate sanctions by setting upper and lower limits. Thus, the limiting retributivism approach controls both who may be held liable and how severely that person may be punished. In this book we refer when applicable to these two proportionality limits, respectively, as limiting retributive liability principles and limiting retributive severity principles.

Introduction

7

Other proportionality principles focus on excessiveness relative to the achievement of practical purposes, such as crime control or regulatory goals, rather than to an actor’s blameworthiness. This utilitarian paradigm was a central feature of just war doctrine and eighteenth-century utilitarian philosophy. Under this approach, a measure is deemed disproportionate if the costs or burdens it imposes exceed the likely beneﬁts or if the measure is unnecessarily severe considering other equally effective, less burdensome means. We refer to these principles, respectively, as “ends” (or “ends-beneﬁts”) proportionality and “means” (or “alternative-means”) proportionality. Ends proportionality usually involves a comparison of a single measure to its expected beneﬁts, whereas means proportionality involves comparison of the costs and burdens imposed by equally effective alternative measures designed to achieve the same beneﬁts. But assessments of alternative measures can also involve a form of ends proportionality; if one of the measures imposes higher costs or burdens but is also more effective, the question is whether the greater beneﬁts of that measure justify the added costs or burdens it imposes. A clear example of the latter form of ends-proportionality analysis appears in a well-known decision of the Israeli Supreme Court that involves a challenge to the construction of a lengthy security fence between Jewish and Arab residential areas. The court held, inter alia, that the fence violated the principle of proportionality “in the narrow sense” (involving assessment of whether expected beneﬁts justify the burdens imposed) because, although the government’s routing of the fence would slightly increase security, compared to the challengers’ proposed alternative route, the former would impose much more severe burdens on local residents.26 Courts apply the preceding proportionality principles in a number of ways; they can be adapted to ﬁt any context. The intensity of judicial review can be custom ﬁt to each legal system’s normative policy choices and unique history.27 The principles can be applied categorically either as a rule or on a case-by-case basis as a standard. Courts may also adopt a hybrid approach somewhere between a rule and standard, or they may fashion their proportionality review by combining elements of both approaches.28 Depending on the context, a ﬁnding of disproportionality can be viewed as problematic per se or may play only an evidentiary role (for example, as a way to infer the true intent of government or private actors). Courts most often utilize proportionality review in the criminal justice and civil liberties arena to ensure that government encroachment on citizens’ rights does not become excessive. Sometimes, however, citizens’ rights may be curtailed under a utilitarian proportionality regime; a ﬁnding of disproportionality favors the government, not the citizen. Proportionality principles can also guide a court in settling disputes between two branches of government or two adverse parties. Proportionality principles determine both the legality of government or private

8

PROPORTIONALITY PRINCIPLES IN AMERICAN LAW

action and, if legal, whether the action was excessive in scope, intensity, and duration. Proportionality analysis was utilized in a similar fashion with regard to just war doctrine, where proportionality regulated both the decision to declare war ( jus ad bellum) and the conduct of war ( jus in bello). Proportionality analysis has some points in common with the balancing of competing interests. In particular, the ends-beneﬁts proportionality principle described earlier involves a type of cost-beneﬁt analysis often invoked when courts engage in balancing. However, alternative-means proportionality calls for a very different kind of balance (if “balance” is even the right word to use); it involves comparing a particular measure with less costly or burdensome alternative means of achieving the same goal. Limiting retributive proportionality also involves a comparison—between the severity of a measure and the degree of individual fault of the person subject to the measure. This, too, could be viewed as a kind of balancing, although that term is not used in opinions and writings that invoke retributive theory. Even if proportionality and balancing analysis have points in common, we argue that the proportionality principles we have identiﬁed are better suited to serve as limiting principles in guiding judicial review of excessive government measures. The balancing metaphor suggests a speciﬁc, optimum solution. But asking courts to determine that optimum solution implies a degree of judicial power and precision that is usually unattainable and often inappropriate. It is easier and more appropriate for a reviewing court to say “this is clearly too much” than to say “this is (or would be) the optimum.” Courts have limited ability to gather and weigh empirical data, limited legitimacy in making complex policy choices, and limited power to enforce their judgments. Legislative and executive ofﬁcials and private actors are the primary decision makers, and they must be accorded substantial deference and allowed a considerable margin for error or difference of view. However, courts must still impose some meaningful limits on these decisions. Although proportionality analysis requires courts to make difﬁcult factual determinations and value judgments, this is true whenever courts review challenged government measures for excessiveness. Thus, some degree of judicial review is both necessary and inevitable—courts already engage in review under a variety of standards, and as this book shows, many of these standards implicitly or imprecisely incorporate proportionality principles. We argue that more explicit and precise application of such principles will produce more consistent and defensible exercise of essential judicial oversight. Foundations for the exercise of any of these principles of proportionality may be found in federal and state constitutional law, common law, or legislative principles. Although the Supreme Court has adopted expressly retributive proportionality in some contexts under the federal constitution, its proportionality review

Introduction

9

based on that document has been limited, perhaps because of concerns about federalism and democratic legitimacy. These concerns, however, are reduced or nonexistent when a state court bases its proportionality review on the state constitution or when courts and legislatures apply proportionality review to nonconstitutional issues. Despite solid legal foundations and the lack of strong concerns to the contrary, U.S. courts and policy makers have failed to implement proportionality review on a broader scale. As such, U.S. courts have had a difﬁcult time protecting citizens in a systematic and coherent fashion from excessive government encroachment. Widespread acceptance of proportionality principles has been hindered by the courts’ failure to properly identify proportionality review when it is utilized. Furthermore, they have been reluctant to adopt explicit proportionality review outside of a very narrowly deﬁned fault-based analysis. Normatively, courts should employ a consistent basis for their decisions so that those rulings are understood, command respect, and provide a predictable guide to the efﬁcient resolution of future claims and disputes. The diversity of contexts in which proportionality review has been and can be invoked indicates that the principles outlined earlier are ﬂexible and useful analytic tools. By recognizing proportionality principles in their variable forms and implementing them broadly, courts could adopt a more consistent approach to resolving legal dilemmas, thereby improving not only the decisions they must make but also how those decisions are received and acted upon. Questions may arise as to whether American courts are capable of competently applying the principle. To do so, courts will be forced to move beyond the rigid categorization that the current jurisprudence requires. In light of the recent moves by the Supreme Court toward applying proportionality and the experience of other courts in successfully applying these principles, we argue that the American judicial system possesses the institutional competency to use proportionality to protect individual rights and set meaningful limits on state regulation and punishment. Proportionality may also be utilized by the legislative branch when drafting and passing regulations.29 The described beneﬁcial values of proportionality can best be understood through an examination of domestic, foreign, and international experience,30 as well as its history. Examination of proportionality in broad comparative and historical perspective demonstrates the universality of these principles in space and time—these are fundamental, long-standing, and widespread concepts in European and American jurisprudence. Of course, when making comparisons across doctrines, even within domestic law, the speciﬁc doctrinal context of the rules is important. Nevertheless, there is great value in comparing rules or underlying principles in differing doctrinal contexts—a kind of interdoctrinal comparative law. Like more traditional uses of comparative law, examination of the similarities

10

PROPORTIONALITY PRINCIPLES IN AMERICAN LAW

and differences across legal doctrines opens our eyes to new ways of thinking about familiar rules. It also helps us to make the rules more coherent and consistent or at least as consistent as they can be, considering differences in context. Part I of this work explores the conceptual underpinnings of the principle of proportionality, traces its gradual development under the auspices of the ancient concept of just war, and describes the experience of foreign legal regimes, including the European Union, in their use of proportionality principles to control government regulation. Part I also discusses both common law notions of proportionality in the assessment of reasonableness of compensatory and liquidated damages and implicit proportionality principles applied in fashioning antitrust remedies. We have chosen to discuss most of the foreign, international, and common law examples ﬁrst, even though some readers may question the relevance of this material or be impatient to get to the discussions of contemporary U.S. constitutional law in chapters 3 to 7. We begin with foreign and historical examples because we want to emphasize the universality of proportionality principles, as well as their common themes and important variations. Examining these examples at the outset lays the foundation for our principal descriptive and normative claims, summarized earlier. The proportionality principles we discuss in this book are fundamental, long-standing, and widespread concepts in European and American jurisprudence, and American courts should not hesitate to invoke them. Indeed, as the later chapters show, American courts are already using versions of these core principles; they need to do so more explicitly and with more precise deﬁnitions, as foreign courts have already done. Part II examines the general doctrinal standards of judicial review under the Fourteenth Amendment’s due process clause and equal protection clause. It also analyzes the discrete areas of American constitutional jurisprudence in which proportionality is explicitly named as a standard of review by the Court to determine the scope of allowable government intrusion into individual autonomy or the autonomy of the several states, as well as the use of proportionality as a remedial tool for establishing the need for government action to protect a guaranteed freedom or right. Part III analyzes the importance of the principle of proportionality in the American system of criminal justice. Many implicit examples of the proportionality principles we identify appear in constitutional and subconstitutional rules of criminal procedure and in rules limiting criminal liability. Explicit and implicit federal and state constitutional proportionality limits have also been applied, although not consistently, to the severity of punishments and the treatment of prisoners, and proportionality principles are widely recognized in scholarly writings on sentencing theory and in subconstitutional sentencing laws and practices in the United States and foreign countries.

Introduction

11

We recommend that every government intrusion into individual autonomy, be it regulation or penalty, undergo some form of proportionality review unless strict scrutiny or another more restrictive standard applies. Although rational application of the principle of proportionality requires the intensity of judicial scrutiny to vary across different areas of legislative or executive action, we submit that even the minimum degree of judicial control over government regulation must be sufﬁciently scrupulous to meaningfully reconcile societal and individual interests. Applying these principles will enhance the coherence, consistency, and legitimacy of the courts’ decisions. To date, the Supreme Court, in its ad hoc approach to decision making, has not considered a general theory of proportionality, although the principle has found expression in isolated cases. In this work, we explicitly advance such an instrumental theory.

This page intentionally left blank

ORIGINS From the Annals of History to the Twenty-ﬁrst Century

T

I

he chapters in this part demonstrate the broad and long-standing acceptance of proportionality principles in Western legal systems. Chapter 1 shows how the tradition of proportionality in government affairs ﬁnds its roots in the just war theory that was developed by Cicero, Saint Augustine, and Saint Thomas Aquinas to judge the morality of going to and waging war. Building on the teachings of these prominent ﬁgures, the renowned Dutch philosopher and legal scholar Hugo Grotius expanded the use of proportionality to ensure not only that the act of going to war was just but also that its actual conduct corresponded with the war’s objectives. In his treatise on war,1 Hugo Grotius also underscored the key role of natural law in shaping the decisions of governments and individuals. Further importance of the principle of proportionality in the law of war has been recognized by the United Nations. In particular, the UN Charter,2 adopted after World War II, prohibited the use of force except in self-defense, and Protocol I to the Geneva Convention of 19493 condemned excessive suffering in the conduct of war. 13

14

ORIGINS

The modern limitations on the initiation and conduct of war incorporate both alternative-means and ends-beneﬁts proportionality principles. Recourse to war must be in legitimate self-defense, only as a last resort, and only when necessary and proportionate to the needs of self-defense. In the conduct of war, military actions must seek to minimize unnecessary suffering and destruction and must not be excessive relative to the military objectives they attempt to achieve. At about the same time that these important developments took place in the international regulation of the law of war, Germany, France, and other European democracies began realizing their transformation into welfare states. As discussed in the second part of chapter 1, the emerging need to balance state regulation and individual autonomy has resulted in the adoption of the constitutional requirement of proportionality of government measures to the objectives sought, including both ends- and means-proportionality assessments. This doctrine was also successfully integrated into the legislative and administrative structure of the European Union. Meanwhile, the United States chose to review government action without an express reference to the principle of proportionality.4 This is despite the fact that its system of judicial review espouses all of the elements of proportionality recognized in European jurisdictions.5 The American judiciary, led by the Supreme Court, has used the term “proportionality” only to signify a standard of review stricter than rational basis but less rigorous than intermediate scrutiny.6 The second chapter in this part examines the development of proportionality principles in the English and U.S. common law limitations on compensatory damages in contract and tort. Although proportionality principles have subsequently been deﬁned and further developed, the common law originally embraced proportionality in the general sense. Chapter 2 concludes with an examination of implicit proportionality principles applied by U.S. federal courts when fashioning remedies for antitrust violations.

1

PROPORTIONALITY IN INTERNATIONAL AND FOREIGN LAW

A. PROPORTIONALITY IN THE INITIATION AND CONDUCT OF WAR 1. The Concept of Just War The use of war as an instrument of sovereign policy has emerged with the realization that war is undertaken for the advancement of peace. Cicero said in his De Ofﬁciis that accepting war as a method of state policy for resolving disputes must come only after the state has had recourse to their peaceful resolution. He urged that “wars should be undertaken for the one purpose of living peaceably without suffering injustice.” 1 Any other resort to war at the level of state policy is characteristic of beasts rather than civilized human beings.2 From this idea emerged the concept of just war—a method for distinguishing barbarity from the use of force as a necessary element of sovereign policy.3 Cicero’s concept of just war was embraced by ancient writers such as Saint Augustine and Saint Thomas Aquinas. Saint Augustine, a prominent philosopher from Hippo, ﬁfth century ad, wrote about the concept of just war in his treatise City of God.4 He believed that waging war was counter to human nature. Only the injustice of the opposing side could justify and even impose a duty to wage a war.5

15

16

ORIGINS

Even when the war to be waged is just, the person thus compelled should “lament the necessity of just wars.”6 Saint Thomas Aquinas agreed with this formulation some seven hundred years later in his Summa Theologica,7 in which he mentioned the basic requirements for a war to be just. To begin with, there must be “the authority of the sovereign by whose command the war is to be waged.”8 Individuals are not entitled to take the law into their own hands by resorting to the sword, nor are they authorized to gather people to wage wars.9 The assumption is that a sovereign will have made a legitimate assessment of the justice of going to war. Also, because war is ordinarily followed by peace, the authority of a sovereign is required to enforce the demands and fulﬁll the promises or concessions reached in the negotiations of peace.10 Thus, Aquinas quoted Augustine as saying that “[t]he natural order conducive to peace among mortals demands that the power to declare and counsel war should be in the hands of those who hold the supreme authority.”11 Moreover, “a just cause is required” for a war to be just: “[T]hose who are attacked, should be attacked because they deserve it on account of some fault.”12 Aquinas ﬁnds backing for this proposition in the writings of Augustine, who said that the goal of war is to avenge wrongs inﬂicted by the other state or its subjects.13 It is required, Aquinas observed, that “the belligerents should have a rightful intention, so that they intend the advancement of good, or the avoidance of evil.”14 Augustine, said Aquinas, speciﬁcally emphasized that only wars undertaken with righteous motives were deemed peaceful by any true religion.15 Both Augustine and Aquinas agreed that wars guided by vengeance, desire for power, and cruelty should be condemned.16 Three hundred years later, prominent natural rights theorist Huig de Groot (Hugo Grotius), disgusted at the Christian world’s propensity to go to war without regard to any human or divine law, published his treatise On the Law of War and Peace (De Jure Belli ac Pacis).17 He attempted to set forth the laws of war binding on and applicable to the whole of humanity.18 He disagreed with some of his fellow writers that Christians were forbidden to use arms.19 Instead, Grotius reasoned that war could be used as a means of restoring a violated right against those “who could not be held in check by judicial process.”20 Thus, he contended that not all wars are just and argued that, to be justiﬁed, wars “must be carried on with not less scrupulousness than judicial processes are wont to be.”21 Grotius also reasoned that there cannot be a right to an unjust war.22 Because “right is that, which is not unjust,” he said, there can be no right to resort to unjust war.23 He deﬁnes injustice as that “which is repugnant to the nature of society, established among rational creatures.”24 Grotius agrees with Cicero that only when it is impossible to use normal human understanding can there be resort to force in resolving a dispute.25 He argued that the right of a human being to self-defense

Proportionality in International and Foreign Law

17

is a natural right, one that is not acquired by habit or custom but is “engraven in our hearts and minds with [nature’s] own hand.”26 Thus, not all wars are repugnant to nature, but one should discover the just causes for war through natural reason.27 According to Grotius, the force of natural law is so great that even God cannot appoint things contrary to it if “the law of nature positively forbids or commands.”28 Grotius reﬁned the theory of just war articulated by Augustine and Aquinas. His requirements of just war were just cause, rightful intention,29 proper authority and public declaration,30 war as last resort (necessity),31 probability of success,32 and proportionality of response to aggression.33 “The justiﬁable causes generally assigned for war are three, defense, indemnity, and punishment. . . .”34 In pursuance of these causes, just war can be declared in response to a committed or an imminent injury.35 Just war can also be declared in protection of others.36 Quite remarkably, Grotius foreshadowed in his treatise the lawfulness of preemptive wars. He maintained that, although nations may prevent remote or immediate aggression against them, “the suspicion of hostile intentions, on the part of another power, may not justify the commencement of actual war, yet it calls for measures of armed prevention, and will authorise indirect hostility.”37 Accordingly, war cannot be waged as a matter of expediency, as when one nation is feeling uncomfortable about the growing power of a neighboring nation.38 In this respect, Grotius said that no complete security exists in human life, which is why “[t]he only protection against uncertain fears must be sought, not from violence, but from the divine providence, and defensive precaution.”39 He added that, whenever there is doubt about the justice of the cause of war, one must err on the side of peace.40 Grotius recommended that, in case of doubt, nations avoid hostilities at all cost and attempt to resolve their disputes peacefully by conference or compromise or by lot or single combat.41 Even if no doubt exists and a just cause for going to war has been established, said Grotius, nations are to refrain from having recourse to arms.42 The application of Grotius’s theory of just war was not limited to the ends of war. The means of war, he said, were “never to be considered by themselves, but only as they have a tendency to the proposed end.”43 He laid down three basic rules for assessing the proportionality44 of the means of war to the war’s ends. First, the tendency of the desired object to produce good or evil must be determined.45 Second, if there is uncertainty as to whether the good or the evil will predominate, the use of force may be chosen only if the actor has means to shift the preponderance in favor of the good.46 Third, the actor may decide in favor of the means—even “if the good and the evil bear no proportion to each other” or the means are inadequate to the end—if the comparative likelihood of the good occurring is greater than the potential excess of the evil over the good, had the evil occurred, or if the

18

ORIGINS

potential excess of the good over the evil, had the good occurred, is greater than the comparative likelihood of the evil occurring.47 Grotius rephrased these complicated rules by using Cicero’s simple analogy to the practice of medicine: Doctors apply weaker remedies to ﬁght weaker diseases and stronger ones to ward off serious illnesses.48 He observed that “no war should be undertaken, but where the hopes of advantage could be shewn to overbalance the apprehensions of ruin.”49 Unlike his predecessors, Grotius dedicated several chapters of his treatise to the proportionality of the conduct of war. He established the principle of discriminate application of force and the requirement that the means undertaken in war must be necessary for the attainment of the military objective.50 The treatise is revolutionary in emphasizing the humanitarian aspects of war and praising the sanctity of human life. For the ﬁrst time, it offered a global view on the role of the principle of proportionality in reducing unnecessary human suffering in the conduct of war. The values Grotius developed in On the Law of War and Peace laid the foundation for gradual restriction of the use of force; the treatise began the introduction of humanitarian law into military affairs. The purpose of this excursus in history is not to provide a complete account of the development of the principle of proportionality in military affairs but to show its ancient roots. Thus, in the next section we shift our discussion to the modernday developments of proportionality in military law, skipping several generations of just war philosophers who have built upon the foundation created by Grotius.

2. The Development of the Principle of Proportionality in the Law of War before the Adoption of the UN Charter and the Geneva Convention of 1949 The world’s concern with war was again on a rise in the period between the Geneva Convention of 1864 and the Hague Conventions of 1899 and 1907. The conventions codiﬁed a number of important customary international rules and limitations on the conduct of war and the behavior of victors in the occupied territories. This was also the time when the doctrine of proportionality began emerging as a fullﬂedged principle of the law of armed conﬂict, restricting the range of available means to inﬂict damage on the enemy.51 Adopted before the St. Petersburg Declaration, the Geneva Convention of 1864 marks the ﬁrst signiﬁcant international attempt to limit suffering in the conduct of war. The convention was signed to ameliorate the conditions of wounded soldiers.52 It contained rules for the treatment of wounded soldiers and established the neutral status of military hospitals and ambulances.53 To inhabitants of a country who had helped wounded soldiers it guaranteed freedom from harm and

Proportionality in International and Foreign Law

19

even prescribed that, if a household was taking care of a wounded enemy soldier, it would be exempt from the quartering of troops.54 Sir Phillimore, a member of the English Privy Council, wrote in 1873 in his Commentaries upon International Law that not everything is “ ‘lawful against the enemy,’ but only those things which are essential to the vigorous prosecution and speedy termination of the War.”55 He said that ill treatment of “unarmed and unoffending men, much more of women and children” and means of unjustiﬁable destruction of territory were strictly prohibited.56 He also declared that the principles of just war forbade the killing of prisoners or wounded or helpless enemies and that such killing would be considered murder.57 The Hague Conventions of 1899 and 1907 furthered these principles. They were adopted by the First and the Second International Peace Conferences at The Hague, which convened to codify the generally binding rules of the law of war and warfare.58 The resulting conventions extensively covered the issue of the accepted law of war embodied in the state of customary law at the time of adoption.59 The Hague Convention respecting the Laws and Customs of War on Land focused speciﬁcally on limiting the means available to the belligerent parties in the conduct of war.60 Proportionality ﬁgures implicitly in several of the convention’s provisions. Most important, the document recognizes that “[t]he right of belligerents to adopt means of injuring the enemy is not unlimited.”61 Several military practices were speciﬁcally prohibited as conducive to unnecessary suffering.62 Finally, several clauses call for a tight ﬁt between the military means and the military objective.63 Despite its important pronouncements, the scope of the Hague Convention was limited to prevention of excessive means of conducting a war (jus in bello64), not unjust war itself ( jus ad bellum65). Proportionality had not found its way into conventional sources of international law regulating the justice of war until the intensiﬁcation of international security cooperation after World War II, when the UN Charter and the Geneva Conventions were adopted.66 Sources of customary international law using proportionality for this purpose were likewise scarce. The only signiﬁcant evidence that proportionality persisted in both jus in bello and jus ad bellum was the Caroline incident,67 one of those rare occasions in this period when proportionality played an important role in determining the appropriateness of the use of force. The Caroline was a small American steamer that was used to smuggle antiBritish insurgents and arms into Canada to support an insurgency against British rule.68 In 1837 it was destroyed by British forces, who viewed the Caroline as an enemy.69 The Americans considered this an act of aggression, whereas the British contended that the destruction of the ship was in self-defense.70 After long and heated discussions, the foreign ministers of both countries accepted the principle

20

ORIGINS

that the use of force must be proportional to the threat to the sovereign territory of an independent nation: “ ‘Respect for the inviolable character of the territory of independent nations is the most essential foundation of civilization,’ and . . . this can only be legally overridden by ‘a necessity of self-defense, instant, overwhelming, leaving no choice of means, and no moment for deliberation,’ and ‘the act . . . must be limited by that necessity, and kept clearly within it.’ ”71

3. The UN Charter Regime and the Geneva Conventions The role of the principle of proportionality in the law of war and the law of warfare was advanced considerably by the adoption of the Charter of the United Nations, the Geneva Conventions, and the Geneva Conventions’ Additional Protocols.72 These international treaties represent the general willingness of world nations, shocked by the cruelties of World Wars I and II, to diminish the use of force in the resolution of international disputes. They also provide greater protection of and respect for human rights in the conduct of war. The treaties embrace the essential force of Cicero’s words that resort to force without compromise and negotiation is characteristic of wild beasts, not civilized human beings.73 The charter and the Geneva Conventions retained the meaningful division of the law of war into jus ad bellum and jus in bello and preserved in both the role of proportionality.

a. Proportionality of Resort to Force The Charter of the United Nations prohibits the threat or use of force74 except in legitimate individual or collective self-defense,75 thus allowing the customary principle of proportionality to play an important role in the avoidance of the unnecessary use of force. As one of the requirements borrowed from the doctrine of just war, proportionality measures the appropriateness of military response to an armed attack.76 The recourse to force must be proportionate to the needs of self-defense. In this capacity, proportionality closely correlates with the just war requirements of just cause, last resort (necessity), probability of success, and proper authority. Use of force is not considered proportional if any of these requirements are not met. Two important cases decided by the International Court of Justice explored the use of proportionality in determining the lawfulness of the use of force in self-defense. Each acknowledged that the requirement of proportionality is not speciﬁcally introduced by Article 51 of the charter but rather was incorporated in the charter as part of customary international law.77 In the ﬁrst case, Military and Paramilitary Activities in and against Nicaragua (Nicaragua v. United States), the court held that the “rule whereby self-defense

Proportionality in International and Foreign Law

21

would warrant only measures which are proportional to the armed attack and necessary to respond to it” was a rule “well established in customary international law.”78 The court found that the American activities “relating to the mining of the Nicaraguan ports and the attacks on ports, oil installations, etc.,” did not satisfy the requirement of proportionality.79 The United States’ military attack on Nicaragua, the court held, was so much greater in scope than the perceived dangers to El Salvador, Honduras, and Costa Rica—in protection of whom the United States commenced these attacks, claiming the right to collective self-defense against the military aid provided by Nicaragua to the Salvadorian opposition army—that it failed to satisfy the principle of proportionality.80 Moreover, the United States continued its assaults well beyond the period in which the dangers from Nicaraguan aid to the Salvadoran opposition army could still be perceived.81 As a result, the court concluded that the United States’ invocation of the right to collective self-defense against an armed attack on El Salvador, Honduras, or Costa Rica to validate its activities against Nicaragua could not be accepted,82 leaving the United States’ attacks on Nicaragua without proper legal support. In the second case, the court similarly held that United States’ strikes on Iranian oil platforms failed to satisfy the principle of proportionality.83 Two incidents prompted the U.S. military to attack the oil platforms. First, a Kuwaiti oil tanker, sailing under the American ﬂag for protection,84 was hit by a missile believed to have been launched by Iran.85 Second, the USS Samuel B. Roberts, while traveling in international waters in the Persian Gulf, struck a mine that the United States suspected had been installed by Iran.86 In addition to considering these strikes unnecessary and ﬁnding insufﬁcient evidence for treating the Iranian oil platforms as legitimate military objectives,87 the court further condemned one of the United States’ assaults as disproportional.88 The attacks in response to the mining of USS Samuel B. Roberts were part of a more extensive program named “Operation Praying Mantis.”89 Although this case dealt with the destruction of two oil platforms in the course of this program, the court could not “close its eyes to the scale of the whole operation, which involved, inter alia, the destruction of two Iranian frigates and a number of other naval vessels and aircraft.”90 The court, therefore, held that “neither ‘Operation Praying Mantis’ as a whole, nor even that part of it that destroyed the Salman and Nasr platforms, [could] be regarded, in the circumstances of this case, as a proportionate use of force in self-defence.”91 b. Proportionality of the Means of War The principle of proportionality of the means of war and the rules of combat ( jus in bello) were codiﬁed in Additional Protocol I to the Geneva Convention of 1949

22

ORIGINS

(Protocol I). Protocol I stands for the proposition that, if the resort to force in selfdefense is valid, proportionality should be employed to protect combatants and noncombatants from excessive attacks. It is implicitly incorporated in a number of articles that regulate the means and methods of warfare. Customary rules of the law of armed conﬂict, however, continue in effect with regard to nonparties to the protocol.92 That the rules of armed conﬂict and the attendant requirement of proportionality ought not to be suspended with regard to aggressors is indicative of the expanded role of proportionality in the law of war.93 Several provisions of Protocol I require special attention in our study of proportionality. Article 35, for instance, embraces the principle of proportionality by declaring that the means and methods of warfare are not unlimited and by prohibiting the use of weapons that may cause excessive and unnecessary suffering. Interestingly, nuclear weapons, whose use without causing excessive and unnecessary suffering is impossible, were not outlawed as disproportionate per se. Having acknowledged that the threat or use of nuclear weapons would generally be contrary to the rules of armed conﬂict and humanitarian law, the International Court of Justice held that, “in view of the current state of international law” and facts at the court’s disposal, “the Court [could not] conclude deﬁnitely whether the threat or use of nuclear weapons would be lawful or unlawful in an extreme circumstance of self-defence, in which the very survival of a State would be at stake.”94 Article 51(4) of Protocol I prohibits attacks that are not directed at a speciﬁc military objective, employment of means or methods that cannot be directed at a speciﬁc military objective, or the use of means or methods of conduct that are not capable of discrimination. Article 51(5)(b) gives proportionality a central role in avoiding loss of civilian life.95 This essential provision requires balancing, ex ante,96 the “incidental loss of civilian life, injury to civilians, [and] damage to civilian objects,” which is reasonably expected to be caused in the course of a military attack, against “the concrete and direct military advantage anticipated.”97 An attack is unlawful if the undesired collateral effects bear no reasonable relation to the military beneﬁt attained. Article 51(5)(b) requires that both military targets and the means and methods of warfare be reviewed for disproportionality.98 The rule requires “that proportionality be assessed in relation to each individual attack, rather than on a cumulative basis.”99 Protocol I also speciﬁcally provides for the protection from military attack of certain essential objects: cultural and religious items,100 objects indispensable to the survival of the civilian population,101 the natural environment,102 and installations containing dangerous forces.103 Thus, a proportionality analysis of any method of warfare must take into account a variety of factors, including the importance of the military target, the presence of civilian population and infrastructures in the target area, the potential civilian use of the military target, the ability to provide prior notice to the authorities about the

Proportionality in International and Foreign Law

23

threat to civilian population, the likely short-term and long-term environmental damage,104 the type of weapon available and its accuracy, and the rights of neutral countries in the target area. Several important matters of proportionality of means of war were articulated in the documents of the International Criminal Tribunal for the Former Yugoslavia and the Committee Established to Review the NATO Bombing Campaign against the Federal Republic of Yugoslavia. First, with regard to the relative values to be assigned to negative collateral effects and the achieved military advantage balanced under the principle of proportionality, both the tribunal105 and the committee106 supported the view that the determination of values be that of a “reasonable military commander.” While, as the committee admitted, it would be unlikely for military commanders to agree on the values to be assigned to the collateral damage and military advantages in close cases, in many instances reasonable military leaders would concur on that issue.107 It is often the case that military objectives are interspersed with or share the use of civilian objects. Moreover, the party responsible for the civilians located in these objects frequently fails to remove them before an attack.108 Failure of a party in control of the targeted objects to relocate the civilians within or in the vicinity of military objects does not relieve the attacking side from taking these civilians into account in conducting the proportionality analysis before an assault.109 The committee also cited with some approval the application in the Kupreskic Judgment of a cumulating approach to assessing the scope of collateral harm inﬂicted in a military campaign: [R]egard might be had to considerations such as the cumulative effect of attacks on military objectives causing incidental damage to civilians. In other words, it may happen that single attacks on military objectives causing incidental damage to civilians, although they may raise doubts as to their lawfulness, nevertheless do not appear on their face to fall foul per se of the loose prescriptions of Articles 57 and 58 [of Protocol I to the Geneva Convention of 1949] (or of the corresponding customary rules). However, in case of repeated attacks, all or most of them falling within the grey area between indisputable legality and unlawfulness, it might be warranted to conclude that the cumulative effect of such acts entails that they may not be in keeping with international law.110 The committee observed that cumulating collateral damage was useful in conducting the overall assessment of a military campaign, despite the insufﬁciency of cumulation of instances of collateral damage to constitute a crime.111 Based on the total casualty ﬁgures, the committee decided that there was no sufﬁcient basis for

24

ORIGINS

charges of genocide or crimes against humanity.112 It also found that none of the individual incidents warranted an investigation by the Ofﬁce of the Prosecutor.113 Arguably, proportionality balances between “two opposing goals: the swift achievement of the military goal with the minimum losses of one’s own combatants and the protection of the other party’s civilian population.”114 This subjective approach is bound to shift the balance in favor of one’s own combatants,115 an effect observed in the ﬁrst Gulf War. To avoid ground war in Iraq in 1991, the United States launched an extensive air attack that destabilized and weakened Saddam Hussein’s army. The swiftness of “Operation Desert Storm” has been praised, but no mention is made of the substantial damage the United States’ air strikes caused to the civilian system of Iraq with long-term devastating effects on the civilian population.116 Despite these drawbacks, the requirement of proportionality of the means and methods of warfare remains an important instrument for the protection of human life in the law of armed conﬂict.

4. Contemporary Application of Just War Principles The just war doctrine may also prove an effective tool for assessing contemporary decisions to go to war and for deciding on a method to carry it out. In the wake of the tragedy of September 11, 2001, President George W. Bush promulgated a new national security strategy that focused on “identifying and destroying the [terrorist] threat before it reaches our borders.”117 Afﬁrmative actions would be taken without international support, if necessary, and the president would not hesitate “to exercise our right to self-defense by acting preemptively against such terrorists.”118 President Bush is the ﬁrst U.S. president to explicitly endorse preemptive strikes as an afﬁrmative national defense strategy.119 The president implied that this new strategy was simply an extension of the just war doctrine adapted to the fundamentally different way that terrorist organizations wage war.120 He argued that when opposing forces manifest an “imminent danger of attack,” international law recognizes that one need not wait to be attacked before engaging the threat with force.121 Historically, an imminent threat was one that the sovereign could observe, such as the mobilization of enemy troops or the strategic placement of weaponry.122 Preventive war—commenced to defeat an adversary before it is able to gather sufﬁcient forces to launch a successful attack—has largely been condemned as unjust.123 When the threat is great enough, however, the president expressed a willingness to authorize preemptive strikes “even if uncertainty remains as to the time and place of the enemy’s attack.”124 The president also contended that “emerging threats” and gathering dangers are legitimate targets of preemptive strikes.125 This propensity for declaring a

Proportionality in International and Foreign Law

25

preemptive strike against uncertain threats stands on an unsure foundation with respect to the principle of proportionality. The president’s expansion of the concept of imminent threat necessarily raises the question of whether the standard of evidence used to justify a preemptive strike is satisﬁed.126 While resolution of the question is beyond the scope of this book, the missing weapons of mass destruction in Iraq127 or a 1 percent probability of a threat128 arguably would not meet this standard. It is unclear whether Grotius would agree that President Bush’s strategy is merely an “adapt[ation of] the concept of imminent threat to the capabilities and objectives of today’s adversaries.”129 Although it is possible to view the differences between Grotius and the president as mere semantics, it is important to remember the great cost of waging war.130 Grotius’s repeated appeal to sovereign authority to ensure that every decision to go to war be strictly proportional to the magnitude and imminence of the threat suggests that the use of force based on uncertain circumstances would not be justiﬁed. As Grotius urged, prudence dictates that doubts about the justiﬁcation of a particular war should be resolved in favor of peace.131 The United States has also adopted and utilized methods of warfare that raise proportionality concerns. During the buildup to the Gulf War, General Colin Powell articulated a military policy that built on ideas espoused by former secretary of defense Casper Weinberger and centuries of military experience.132 Now known as the Powell Doctrine, the policy requires decision makers to ask themselves important questions before entering into a war: “Is the political objective important, clearly deﬁned and understood? Have all nonviolent policy means failed? Will military force achieve the objective? At what cost? Have the gains and risks been analyzed? How might the situation to be altered, once it is altered by force, develop further and what might be the consequences?”133 Later the doctrine was also interpreted to require a viable exit strategy—a “timetable for victory and withdrawal.”134 Once the decision to go to war is made, the Powell Doctrine calls for massive or overwhelming force to be used135 in order to minimize the United States’ casualties and hasten the end of active hostilities.136 Thus, when a decision must be made between protecting one’s own military forces and objectives and safeguarding the opponent’s civilian population, the Powell Doctrine clearly favors the former.137 The very language used to describe the force required—overwhelming and massive—raises serious proportionality concerns that implicate the just war doctrine and international conventions.138 Although the trend in international law has been toward formalizing proportionality analysis and requirements, Powell argued that a rigid national defense policy was imprudent.139 Ambiguous constraints on the use of force aided deterrence by forcing one’s enemy to guess how severely one might respond to a

26

ORIGINS

provocation.140 Powell also argued that adopting a rigid policy would effectively tie the hands of decision makers in adopting the most prudent type of force in any given situation.141 Instead, Powell favored a pragmatic approach that would allow for the type and magnitude of force necessary to accomplish legitimate military goals. In sum, the principle of proportionality has an important place in the international system of the laws of war.142 It reﬂects the world’s growing desire to avoid war and to reduce to a minimum incidental civilian loss. Proportionality offers a meaningful way to balance the evils of war against the beneﬁts of the military objective, with a view of retaining war as a method of last resort in the resolution of international conﬂicts. The principle of proportionality thus stands not only to limit the number of times nations will choose to go to war but also to limit the number of human lives lost during those wars. Just as the principle as applied in just war doctrine recognizes the importance of human life, proportionality as applied in other contexts recognizes the value of individual rights and autonomy and serves to limit both the quantity and quality of government encroachment of those rights.

B. PROPORTIONALITY IN FOREIGN LEGAL REGIMES The principle of proportionality has more often been employed in a more peaceful context to measure the fairness of the balance between state regulation and individual autonomy. It has played an important role in the constitutional law of many jurisdictions, where it is used to balance the costs and the beneﬁts of government regulation in the search for the least intrusive and most effective measures. The emergence of the principle of proportionality in European countries was associated with the rise of the social state.143 The level of government’s social involvement in and recognition of basic human rights determines the scope of application of the principle of proportionality. The following examples demonstrate how proportionality measures the balance between the beneﬁts and the costs of the government regulation. Several nations provide illuminating examples of the use of both alternative-means and ends-beneﬁts proportionality principles.

1. Canada Canadian constitutional jurisprudence derives the principle of proportionality from Section 1 of the Canadian Charter of Rights and Freedoms.144 It provides that the rights guaranteed in the charter may be “subject only to such reasonable

Proportionality in International and Foreign Law

27

limits prescribed by law as can be demonstrably justiﬁed in a free and democratic society.”145 The Supreme Court of Canada in R. v. Oakes146 developed a two-tier constitutional control test. Once the claimant has proved a violation of a right guaranteed in the charter, the government must satisfy two criteria to establish that the limit on individual rights “can be demonstrably justiﬁed in a free and democratic society.”147 First, measures limiting a constitutionally protected right must serve an important objective that “relate[s] to concerns which are pressing and substantial in a free and democratic society.”148 This requirement can normally be satisﬁed since courts are generally deferential to legislative choice of action.149 On several occasions, however, the government has failed to satisfy this requirement.150 Legislation limiting the rights of English-speaking parents in Quebec to educate their children in English-speaking schools151 or requiring the Lord’s Prayer in secular schools152 has been found lacking an important public objective. Likewise, the Supreme Court of Canada was unable to ﬁnd any legitimate public objective that justiﬁed denying protection to gays and lesbians under Alberta’s human rights law in Vriend v. Alberta.153 In R. v. Zundel it also prohibited an intrusive use of a law that was unrelated to the objectives originally contemplated by the Parliament when that law was enacted.154 Once an important public objective or end has been established, the selected means to attain it must be “reasonable and demonstrably justiﬁed.”155 The court said in R. v. Big M Drug Mart Ltd. that this determination involves “a form of proportionality test.”156 Although it varies depending on the facts of the case, the test involves the balancing of public and individual interests based on three principles.157 First, the means must be rationally related to the objective.158 The court has infrequently struck down legislation for lack of any rational relation to the objective pursued.159 It employs a rather deferential and contextual160 approach to determine the rational relation of a provision to the desired end.161 Second, the means should “impair ‘as little as possible’ the right or freedom in question.”162 This is believed to be the decisive element of proportionality review.163 It requires that the legislature adopt the least intrusive measure capable of attaining the desired objective.164 A good example of the application of this element of proportionality appears in a decision of the Supreme Court of Canada in which it invalidated a provision of Quebec legislation prohibiting the use of the English language in signs and posters.165 The court held that the desired promotion of the French language could be achieved through a less intrusive alternative by “requiring that commercial signs display a marked predominance of French.”166 Most recent cases recognize that the legislatures must be afforded a “zone of discretion within which different legislative choices in derogation of a Charter right could be tolerated.”167

28

ORIGINS

Lastly, the public objective and actual effects168 of the means adopted for its attainment must be proportionate to an important public end or objective.169 The court noted that even if the means satisﬁes the ﬁrst two criteria, it may be declared unconstitutional in view of its disproportionate harmful effects on an individual.170 Despite this language, the court has not invalidated a provision solely for failure to balance the costs and beneﬁts of its implementation if it satisﬁed the ﬁrst two criteria of proportionality.171 Rather, courts use balancing to reinforce their conclusions under the “rational relation” and “minimum impairment” components of the proportionality test172 and to avoid invalidation of legislative provisions for “insubstantial” unconstitutional effects on individual freedoms.173

2. Germany The principle in Germany is an unwritten constitutional rule derived from the principle of the rule of law.174 The high court of Germany described proportionality “as an expression of general right of the citizen towards the State that his freedom should be limited by the public authorities only to the extent indispensable for the protection of the public interest.”175 The principle of proportionality in German law incorporates three important subprinciples: suitability, necessity, and proportionality in the narrower sense. According to the high court of Germany, any government interference with basic rights must be suitable and necessary for reaching the ends sought. Its disadvantages to individuals “are generally only permissible if the protection of others or of the public interest requires them, after having due regard to the principle of proportionality.”176 Suitability is the tendency of the course of action to achieve or facilitate the achievement of the desired end. Legislators are given sufﬁcient discretion in determining whether a course of action is suitable.177 Despite this deferential standard, Germany’s high court has not refrained from invalidating the legislative determination of suitability of legislative measures on several occasions.178 Necessity requires the adoption of the least intrusive, equally efﬁcient alternative. Regarding proportionality in the narrower sense, “the burden resulting from the measure must not be excessive in relation to the public interest concerned.”179 Germany requires meaningful proportionality review of any public interference with a basic right by legislative or administrative action. The importance of the principle of proportionality is largely deﬁned through the measure of guaranteed personal autonomy. The scope of protection afforded to personal autonomy in Germany is remarkable. The court stated in the Reiten im Walde Case:180 “According to the principles developed in the case law of the Federal Constitutional Court, Art. 2(1)

Proportionality in International and Foreign Law

29

[of the Constitution of Germany181] guarantees general freedom of action in a comprehensive [sense]. This does not only protect the limited area of development of the personality. It protects every form of human activity regardless of the weight attaching to it in the context of development of the [personality].”182 Several basic rights that belong to the “inner core” of one’s autonomy are “accorded absolute protection and thus are withdrawn from interference by public authority.”183 Given the social nature of a human being, rights outside the “inner core” are limited by the rights of others, the constitutional order, and the moral code as embodied in the German Constitution.184 Responding to the criticism of this broad protection of individual freedom, the court said that limiting the constitutional protection to a narrow set of individual rights “would bring with it difﬁcult demarcation problems which could hardly be satisfactorily resolved in practice.”185 Any interference with the enjoyment of the latter group of rights is subject to judicial proportionality control.186 Proportionality, according to the court in the Reiten im Walde Case, tests, in reference to Article 2(1) of the German Constitution, whether the legal norm that affects the freedom of action “belongs to the constitutional order, that is to say is formally and materially in harmony with the norms of the [Basic Law187].”188 Thus, the court concluded that “the principle of proportionality offers a yardstick by which the general freedom of action may be limited.”189 As such, the principle of proportionality has two purposes. First, it is used to determine whether “the pursuit of the public interest merits precedence generally.”190 Second, it ensures that the measures undertaken are suitable, necessary, and proportionate to the desired end.191 The court applied the test of proportionality in the following landmark cases. In the Cannabis Case,192 the Federal Constitutional Court of Germany applied proportionality to determine whether possession, sale, purchase, or use of cannabis should be punishable and whether the criminal sanctions imposed for various cannabis violations were excessive. First, the court used proportionality as a test to determine whether the prohibition of cannabis was proportional to the need of protecting the health, safety, and welfare of the public.193 It reasoned that the legislature possesses a considerable amount of discretion in determining the sorts of behavior to be punishable by criminal law.194 Noting that there is no scientiﬁcally based information capable of showing which one of the conﬂicting views about the threat of cannabis to health and public order is correct, the court deferred to the legislature’s choice to prohibit cannabis under the threat of criminal punishment.195 With regard to the criminal penalties, the court focused on assessing the proportionality of criminal sanctions in the narrower sense—whether the restrictions imposed on individual liberty were outweighed by the resulting beneﬁts of protecting the health of society.196 If the costs of a criminal sanction outweigh its beneﬁts, the right to individual liberty must take precedence.197

30

ORIGINS

The court found proportionate all provisions of the Intoxicating Substances Act that imposed criminal sanctions.198 It explained that the legislature could comply with the principle of proportionality in the narrower sense by taking into account the relative wrongfulness and culpability in certain groups of cases through substantive or procedural provisions.199 Substantive measures would involve a regime of lower sanctions for petty offenses involving cannabis, while procedural differentiation would be achieved mainly through granting prosecutorial discretion in such cases.200 The federal legislature opted for procedural differentiation, which, said the court, was entirely consistent with the principle of proportionality.201 The Lebach Case202 dealt with the proportionality between media reports about a speciﬁc crime and the perpetrator’s autonomy. The court observed that when the freedom of reporting news impinges on other protected interests, “the purpose of the individual broadcast, the manner of its presentation, and its actual foreseeable effect may become relevant.”203 When two constitutionally protected interests conﬂict, said the court, it is important to determine which takes precedence in light of the circumstances of the case and whether its proposed intrusion on the other interest is necessary, suitable, and proportional to the desired end.204 The court concluded that the right of personality (personal dignity) of a perpetrator of a crime must give precedence to reporting about the crime in the media because the latter serves the important functions of informing the public about a dangerous crime, publicizing the measures undertaken by the government to solve it, and deterring similar future transgressions.205 Because the “interest to receive information does not prevail absolutely,”206 the negative effects of a news report suffered by the perpetrator must still be proportional to the public’s need to receive information and to the seriousness of the offense.207 To protect perpetrators from unwanted intrusion into their personal life and to facilitate their reintegration into society, the balance between the public’s right to receive information and a perpetrator’s right to “be left alone” begins to shift in favor of the latter following the initial news broadcast.208 In Reiten im Walde Case,209 discussed earlier in connection with the scope of the principle of proportionality, the court reviewed the constitutionality of a measure that restricted horseback riding in North Rhine Westphalia to specially designated trails. The claimant argued that he should be able to ride on certain other park trails that were designated for hiking only.210 The court decided that riding was a form of human activity protected under Article 2(1) of the Constitution of Germany but that it did not belong to the core rights that were exempt from any government intrusion.211 As such, riding could be subject to statutory limitations aimed at accommodating the rights of others.212

Proportionality in International and Foreign Law

31

The court accepted the local government’s explanation that, by restricting the park trails available for horseback riding, the local government intended to protect hikers from the dangers and inconveniences of unwanted encounters with horses and to safeguard hiking trails from damage due to horseback riding.213 The court considered the regime of designating separate park trails for riding suitable and necessary for the attainment of the desired aims.214 Finally, the court concluded that the measure was proportionate to the desired end.215 Acknowledging that riders and hikers have an equal claim to the use of park trails, the court concluded that, because riders represent a smaller proportion of park visitors than hikers, the aims of protecting hikers and maintaining hiking trails would be more appropriately served by designating special tracks for riding rather than vice versa.216

3. France France employs the principle of proportionality to create a means of effective control over growing executive discretion and government intervention into private affairs. The principle of proportionality in France has not been granted general application in administrative law, however.217 As a general rule, proportionality review has been applied in the following areas: fundamental rights and freedoms, disciplinary action against civil servants, town planning and land development, and environmental protection.218 In these areas, “[t]he principle of proportionality has been used to ensure that the administration seeks a reasonable balance between the different interests affected by its decisions.”219 Conversely, administrative courts also recognize the need for sufﬁcient administrative discretion for administration “to function with regularity and certainty.”220 French courts have a sliding scale of judicial review, including minimum control, normal control, and maximum control.221 The intensity of review depends on the subject matter and the scope of discretion.222 A recent rise in state social and economic regulations was matched by a corresponding expansion of proportionality review into the areas of minimum control, such as town planning and land development.223 The threshold for judicial intervention in the areas of minimum control is manifest disproportionality.224 “Nevertheless, it is still for the judge to evaluate every aspect of the case before him in order to verify whether the principle of proportionality has been respected by the administration.”225 Thus, as a general matter, proportionality review of an administrative action in France generally involves the balancing between advantages and disadvantages of the administrative action.226 The stricter requirement that an administrative action be the least restrictive of individual liberty is believed to be limited to areas of maximum judicial control, where fundamental individual rights and freedoms are at stake.227

32

ORIGINS

4. Eastern Europe The Constitutional Court of Poland has used the principle of proportionality to determine the constitutionality of a statutory provision requiring that all transactions among legal entities be conducted through banking institutions. This measure was adopted to promote transparency in the national economy and to facilitate the collection of corporate and personal taxes. According to Article 6 of the Constitution of Poland of 1952, as amended in the postcommunist period, “the Republic of Poland shall guarantee freedom of economic activity regardless of the type of ownership; restrictions of this freedom may be imposed only by means of statute.”228 This constitutional provision required not only that any limitation on the freedom of economic activity be implemented by statute but also that any such legislative intrusion not be excessive in relation to the importance of the advancement of the public interest.229 To establish excessiveness of a legislative provision, the court considered the nature of the implicated individual rights and freedoms, “because they determine the general boundaries of permissible limitations.”230 This review, said the court, “should provide answers to the following three questions: 1) is the regulation capable of achieving the intended objectives? 2) is this regulation necessary to protect the public interest it refers to? 3) are its results proportional to the burdens imposed on citizens?”231 Notwithstanding the presumption of constitutionality of legislative actions, the court declared its willingness to intervene should a legislative action exceed the degree of allowable discretion and constitute a drastic violation of the constitution. It noted that, based on the established system of constitutional values, the level of legislative discretion will be highest in regard to economic rights and lowest in regard to political and civil rights.232 The court upheld the provision in question because it satisﬁed all of the elements of the proportionality test, ﬁnding that the legislative measure was rationally related to the attainment of the sought objective.233 It explained that the banking system was well equipped to monitor commercial transactions and to avoid the migration of resources into the shadow economy. The court also held that to require running large commercial transactions through the banking system was necessary for the attainment of the desired market transparency.234 In this regard, it noted the importance of the ability of the banking system to improve transparency of commercial transactions, monitor cash ﬂow of commercial organizations, and eliminate cheating in taxation.235 In conclusion, the court determined that the adopted measure was proportional to the desired end because its beneﬁts considerably outweighed the risks of unsecured commercial deposits and bank bankruptcies.236 In the end, said the court, commercial organizations face a variety of business risks in their everyday operation, which makes the addition

Proportionality in International and Foreign Law

33

of the potential loss of funds due to bank bankruptcy de minimis.237 The threequestion test developed in this case “is considered the standard formulation of the proportionality requirement” in Poland.238 A similar provision of proportionality was established by the Constitutional Court of Ukraine in its decision reviewing the constitutionality of Article 69 of the Criminal Code of Ukraine.239 Article 69 authorized the Ukrainian courts to impose a lesser criminal penalty than prescribed by the code on individuals convicted of grievous and intermediate crimes based on mitigating circumstances or de minimis social harm,240 but it did not afford similar treatment to individuals convicted of petty crimes.241 The Constitutional Court of Ukraine ruled that the principle of proportionality required individualization of criminal punishment to ensure that the burden imposed on an individual charged with a crime is proportional to the social harm the individual caused.242 It derived the principle of proportionality from the general notion of fairness of the criminal process and from the constitutional principle of the rule of law.243 The court noted that the requirements of the principle of proportionality were not satisﬁed in regard to citizens charged with petty crimes, as Article 69 of the Criminal Code of Ukraine did not offer them an option of a lesser sentence in the event that they established the requisite mitigating or character circumstances.244

5. The European Union As with many other general principles of law, the European Union borrowed its general principle of proportionality from its member states. Germany had the most elaborate doctrine of proportionality; after initially employing a much narrower deﬁnition of proportionality, the union now has virtually adopted the German system.245 At the time of its founding, many members of the European Union entertained some notion of proportionality in government regulation, which gave the union grounds for treating proportionality as a general principle of law.246 The origin of the principle of proportionality was initially not discussed, as had been the case with other general principles.247 Scholars have argued that the European Court of Justice made an exception because it might have viewed the principle of proportionality as “such a fundamental and obvious principle that its presence in the Community legal order was deemed self-evident with no need for any further explanation and clariﬁcation.”248 Admitting that the national constitutional systems of the member states contributed to the strengthening of the principle of proportionality in its operation to protect fundamental rights, the court rejected national law as one of the plausible origins of the principle of proportionality.249

34

ORIGINS

In Internationale Handelsgesellschaft,250 the court determined that the principle of proportionality derived from the general principles of law protected by European Community law.251 The court did not reject the various articles of the Treaty Establishing the European Community (EC treaty), which contains the words “required”252 or “necessary”253 or which “cause[s] the least disturbance to the functioning of the common market,”254 as the origins of the principle of proportionality. Yet many scholars argue that the principle of proportionality derives its power from the rule of law that underlies the European Community’s legal order.255 The principle of proportionality is closely linked with the principle of subsidiarity utilized to control EC legislative action.256 Article 5 of the EC treaty prescribes that the “Community shall act within the limits of the powers conferred upon it by this Treaty and of the objectives assigned to it therein.”257 The principle of subsidiarity derived from this language is interpreted to contain a presumption that “primary responsibility and decision-making competence should rest with the lowest possible level of authority of the political hierarchy.”258 Thus, subsidiarity limits community power in relation to the member states; it determines whether EC action is warranted.259 The requirement of proportionality contained in Article 5 of the EC treaty—as derived from the words that “[a]ny action by the Community shall not go beyond what is necessary to achieve the objectives of this Treaty”260—supplements the principle of proportionality by limiting the breadth of the community action once it is established that one is required.261 In sum, Article 5 proportionality controls EC legislation, while the judicially established principle of proportionality controls its implementation. The principle of proportionality applies to community regulation affecting the member states262 and individuals. The test of proportionality, as developed by the European Court of Justice, contains three elements—suitability, necessity, and proportionality in the narrower sense.263 The burden of proof is on the contesting party.264 The court, however, might not apply all three elements in a particular case.265 Suitability has been assigned a secondary role since most cases involve “complex economic situations” that warrant “wide discretionary powers.”266 As such, the assessment of suitability is limited to determining whether, “at the time when the measure was adopted, it was manifestly unsuitable to achieve the desired end.”267 The test of suitability in European Union jurisprudence is a test of manifest arbitrariness.268 Necessity has a leading role in proportionality jurisprudence of the court. It requires that the least intrusive regulatory measure be adopted.269 Absent manifest error, the court is deferential to the choice of regulatory or legislative action in “the exercise of discretionary powers in the ﬁeld of economic policy.”270

Proportionality in International and Foreign Law

35

The test of proportionality in the narrower sense is ordinarily used to prevent excessive penalty claims and encroachments on fundamental rights recognized as part of the general principles of law or rights granted by the EC treaty.271 Derogations from EC treaty rights are subject to strict scrutiny and will be allowed in cases of “genuine and serious threats to national interests [of member states]” if the measure is necessary to the attainment of the desired end.272 Derogations from fundamental rights recognized as part of the general principles of law are subject to suitability, necessity, and proportionality review.273 Measures are lawful if they are not disproportionate to the end sought in a way that impairs the substance of a fundamental right.274 This is particularly true in areas of wide discretionary powers, such as in the ﬁeld of economic policy. Finally, although it recognizes the principle that penalties must not be excessive, the court “is unlikely to intervene unless the disproportionality is reasonably evident.”275 At present, the doctrine of proportionality in the European Union is in a state of constant development to accommodate gradual expansion of community regulation.276 European experience with proportionality is indicative of the principle’s ability to be ﬂexible to the myriad needs of different countries and governmental systems. Germany’s experience—where the principle is most intricately deﬁned and applied because of its constitutional status—demonstrates that proportionality is of sufﬁcient legal character to adequately protect individual autonomy interests in a developed country. The European Community’s successful adoption of the principle also demonstrates that proportionality may be used even where different levels of government are involved, effectively curbing unwarranted intrusions into individual autonomy by either level of government and protecting each level of government within its assigned sphere of action.

This page intentionally left blank

2

PROPORTIONALITY PRINCIPLES IN THE COMMON LAW OF DAMAGES

the concept of proportionality is not entirely foreign to the common law. Proportionality, arguably, was embodied in the old common law principle of reasonableness. Indeed, both principles are related, and their application leads to similar results in the majority of cases.1 The closeness between reasonableness and proportionality on the continuum of limitations on government discretion is instructively suggested by the experience in foreign jurisdictions where the two principles coexist effectively. Reasonableness and proportionality, for instance, have been treated as coordinate principles of German constitutional law deriving from the same source—the requirement of justice for the individual, which is “an integral part of the rule of law.”2 According to some scholars, however, proportionality and reasonableness represent somewhat different ideas. Proportionality is generally focused on the relationship between two variables, for example, means and ends.3 By contrast, reasonableness “is used to assess whether the particular circumstances of the person concerned allow the fulﬁllment of certain duty by him or not”; in other words, it does not necessarily involve the relationship between two variables.4 Scholars have argued that the principle of proportionality calls for an objective means-ends assessment, whereas reasonableness involves a subjective standard for “the assessment of the totality of the circumstances of the case to which it is to be applied.”5 37

38

ORIGINS

The conclusion, nonetheless, is clear—proportionality and reasonableness often work in tandem to determine the justice of a particular situation to an individual. The common law principle of proportionality (reasonableness) dates back more than a hundred years. Early judicial decisions discuss a need for proportionality in the context of private law, such as contract law, in particular with respect to damage awards. Proportionality analysis extends to the actual damages versus contract price, liquidated damages versus actual or foreseeable damages, and compensatory damages versus contributory fault. What recurs in contract law cases is a concern for fairness, expressed as freedom to contract and honoring a person’s reasonable expectations of the deal. Contract law is the province of the state. Rarely does the Supreme Court of the United States decide contract disputes, with the exception of early admiralty or government contract cases. These rare Supreme Court decisions, combined with those of a few U.S. Courts of Appeal, express some commitment to an idea of proportionality in awarding damages. Though given only cursory treatment by the high court, common law doctrines rooted in proportionality are referenced by early U.S. courts and are also recorded as restatements of contract law. Courts have largely applied ends-means proportionality to ensure that there is a congruent relationship between the evil and the means used to eradicate it.

A. THE RULE OF FORESEEABLE DAMAGES: WHEN LIABILITY IS DISPROPORTIONATE TO THE CONTRACT PRICE The classic contract law case, Hadley v. Baxendale, established the principle that consequential damages should be limited to foreseeable losses, which are those that “may reasonably be supposed to have been in contemplation of both parties at the time they made the contract, as the probable result of the breach of it.”6 The rule of Hadley v. Baxendale is based on the idea that “the costs of the untoward consequence of a course of dealings should be borne by that party who was able to avert the consequence at least cost and failed to do so.”7 This rule corresponds to the tort principle that “the amount of care that a person ought to take is a function of the probability and magnitude of the harm that may occur if he does not take care. If he does not know what that probability and magnitude are, he cannot determine how much care to take.”8 Defendants must have notice of any special circumstances that could give rise to extraordinary or disproportionate liability. Writing for the Seventh Circuit, Judge Richard Posner cited Hadley v. Baxendale when explaining and applying the concepts of foreseeable loss in Evra Corp. v. Swiss Bank Corp.9 In Evra, Evra Corporation sued Swiss Bank, alleging that the bank’s failure to make a timely

Proportionality Principles in the Common Law of Damages

39

transfer of funds was negligent and resulted in the cancellation of Evra’s contract to charter a ship to carry scrap metal overseas. Evra sued for the additional $2 million it paid to charter the ship under a new contract, the rate of which was double that of the previous contract. The court held that Swiss Bank was not liable to the ship charterer for the two million dollars in consequential damages related to Swiss Bank’s improper handling of the wire transfer because it was not on notice of the special circumstances that gave rise to them. The court concluded that “Swiss Bank did not have enough information to infer that if it lost a $27,000 payment order, it would face liability in excess of $2 million.”10 A court is not required to award damages for all foreseeable losses; it may limit foreseeable damages “if it concludes that in the circumstances justice so requires in order to avoid disproportionate compensation.”11 When there is “an extreme disproportion between the loss and the price charged by the party whose liability for that loss is in question, . . . [t]he fact that the price is relatively small suggests that it was not intended to cover the risk of such liability.”12 Likewise, if the deal is informal, the parties may not have carefully attempted to allocate all of the risks.13 The theory behind preventing disproportion is that the liable party did not intend to cover large risks of loss.14 The great majority of courts that address liability for loss in breach of contract cases are state courts, and many limit foreseeable damages in the circumstance of disproportionate compensation.15 Disproportion between contract price and foreseeable damages alone, no matter how excessive, is not enough to convince all courts that the parties did not contemplate that the defendant would bear the risk of liability. In International Ore & Fertilizer Corp. v. SGS Control Services, Inc.,16 a shipper of fertilizer sued the inspection service in contract and in tort for improper inspection and certiﬁcation of the ship hired by the shipper to transport its fertilizer. When the shipment reached its destination in New Zealand, authorities rejected it because of contamination. The district court denied the plaintiff recovery on its contract claim because the damages were outrageously disproportionate to the contract price. The lower court found that the disparity between the contract price of $150 for inspection service and the $2.4 million in damages indicated that the parties neither anticipated the loss nor intended to allocate the risks that way.17 There was no meeting of the minds:18 It is not always in the interest of justice to require the party in breach to pay damages for all of the foreseeable loss that he has caused. There are unusual instances in which it appears from the circumstances either that the parties assumed that one of them would not bear the risk of a particular loss or that, although there was no such assumption, it would be unjust to put the risk on that party. One such circumstance is an extreme

40

ORIGINS

disproportion between the loss and the price charged by the party whose liability for that loss is in question. The fact that the price is relatively small suggests that it was not intended to cover the risk of such liability.19 The district court awarded damages of $713,666 on the plaintiff ’s tort claim but reduced them by 50 percent for contributory negligence.20 The Second Circuit afﬁrmed the decision. It did not agree, however, with the district court’s dismissal of the contract claims on the grounds of disproportion. The Court of Appeals found that the purpose of the inspection “was precisely to guarantee the condition of the hold so as to insure the preservation of the cargo.”21 Since SGS was fully aware that its negligent inspection might cause the loss of an entire cargo, the court reasoned, it must be liable for the consequential damages resulting from its breach.22 The purpose of the service rendered may help determine whether a party should be held liable for a loss that is disproportionate to the contract price. The Second Circuit, in International Ore, distinguished its holding in Sundance Cruises v. American Bureau of Shipping 23 on this basis. In Sundance Cruises, the owners of an ocean-going passenger vessel that sank after hitting an underwater rock sued the insurance classiﬁcation society that had issued it a certiﬁcate verifying compliance with international safety conventions.24 The Second Circuit denied the plaintiff consequential damages and held that the owners were not entitled to rely on the classiﬁcation certiﬁcate as a guarantee that the vessel was soundly constructed, particularly considering the great disparity between the fee charged for the service and the amount of damages sought.25 “The purpose of the classiﬁcation certiﬁcate [was] not to guarantee safety, but merely to permit [the shipowner] to take advantage of the insurance rates available to a classed vessel.”26 The damages that followed did not ﬂow from the issuance of the certiﬁcate since the shipowner was ultimately responsible for the maintenance and operation of the ship.27 Not all damages are capable of being anticipated before (or even calculable after) a breach of contract. Contract law, therefore, allows liquidated damages clauses where parties can agree in advance on the amount of damages due after breach. This stipulation of damages facilitates contracting by reducing the risk that would otherwise be associated with unpredictable or inestimable liability.28

B. DISPROPORTIONATE LIQUIDATED DAMAGES AS UNENFORCEABLE PENALTIES Liquidated damages clauses are meant to estimate damages fairly in order to reimburse a party for hardship that occurs from a broken contractual promise.

Proportionality Principles in the Common Law of Damages

41

Damages clauses are not intended to be a punishment for nonperformance, nor are they a threat or an oppressive tool with which to secure performance.

1. Older Common Law Tradition to Void Clauses The common law of the United States has refused to enforce penalties in contracts because they violate the principle of just compensation. As a comment to the restatement explains, “[p]unishment of a promisor for having broken his promise has no justiﬁcation on either economic or other grounds and a term providing such a penalty is unenforceable on grounds of public policy.”29 The Supreme Court recognizes that “an exaction of punishment for a breach which could produce no possible damage has long been deemed oppressive and unjust.”30 Just as it is unfair to impose punishment where there is no damage, it is also unfair to impose liability that is grossly disproportionate to the amount of damage incurred. Regardless of whether the clause provides for damages too large when compared to the harm caused31 or “ﬁxes an unreasonably small amount as damages,”32 if the damages are completely disproportionate to the degree of the breach, then “the parties have not adhered to the rule of just compensation.”33 Courts vary in how they assess the proportionality of liquidated damages clauses. Some have judged the proportionality of a clause using a prospective approach, looking at whether the provision was a reasonable estimate of damages at the time of the contract drafting.34 Other courts employ a retrospective approach, comparing the stipulated amount to the realized damages.35 Still other courts consider both the reasonableness of the forecasted damages at the time of drafting and the comparison between the stipulated provision and the actual amount of loss.36 The Restatement (Second) of Contracts provides: “Damages for breach by either party may be liquidated in the agreement but only at an amount that is reasonable in the light of the anticipated or actual loss caused by the breach and the difﬁculties of proof of loss. A term ﬁxing unreasonably large liquidated damages is unenforceable on grounds of public policy as a penalty.”37 The more difﬁcult it is to prove actual damages or adequately ascertain their precise amount, the more likely a court will ﬁnd that the stipulated damages are reasonable.38 This is so because, when it is objectively difﬁcult to identify actual harm or the precise amount of damages, there is no reason to believe a judge’s or jury’s estimate will “accord with the principle of just compensation any more than would the advance estimate of the parties.”39 If “it is clear that no loss at all has occurred,” the restatement provides that “a provision ﬁxing a substantial sum as damages is unenforceable.”40

42

ORIGINS

2. Modern Trend to Enforce The Supreme Court has moved away from the common law practice of voiding liquidated damages provisions. The modern trend, beginning in the early part of the twentieth century, is to respect freedom to contract and enforce liquidated damages provisions if intended by the parties.41 In United States v. Bethlehem Steel Co., the Court enforced a liquidated damages provision even though the trial court found that there were no actual damages.42 Although at one time courts “would scarcely admit that there ever was a valid contract providing for liquidated damages,” the Supreme Court established that the modern trend is to respect the parties’ freedom to contract.43 In Bethlehem Steel, the Court concluded that the parties intended the contract to provide for liquidated damages because the harm was hard to ascertain in advance and impossible to prove and the parties did not intend the clause to be a penalty. Comparing the stipulated amount to a prospective estimate at the time of contracting, the Court did consider proportion in determining the parties’ intentions. The Court concluded, “[t]he amount is not so extraordinarily disproportionate to the damage which might result from the failure to deliver the carriages as to show that the parties must have intended a penalty, and could not have meant liquidated damages.”44 A court does not have the authority to disregard the parties’ provision for liquidated damages merely because the amount is disproportionate to the loss.45 It is unfair to interfere with a contract in which an owner of property already has “afﬁx[ed] his own estimate of its value” simply because others disagree with it.46 The parties to a contract are in a more competent position to justly determine a fair amount of damages than a jury concluding after the fact and affected by the partisan testimony of others.47 According to the Supreme Court, the proportionality of the stipulated amount to actual harm is relevant only to the extent that it is indicative of intent.48 The Court established in Sun Printing & Publishing Ass’n v. Moore49 and then followed in Bethlehem Steel that modern courts look to the intent of the parties to determine whether the liquidated damages provision is a penalty.50 If damages are uncertain and have been liquidated by an agreement, it is the duty of the court to enforce the parties’ intention as long as it is not to penalize.51 The Court recognized that disproportion has been relevant in an action at law when the stipulated amount is grossly disproportionate on the face of the contract, thus indicating intent to penalize.52 a. Determining Intent of Parties The Supreme Court has relied on three factors to determine whether the parties intended a penalty: (1) disproportion on the face of the contract; (2) a lump sum

Proportionality Principles in the Common Law of Damages

43

rather than one that varies with length of delay; and (3) express language describing the provision as either a “penalty” or “liquidated damages.” 1) Disproportion on the Face of the Contract It seems clear that a clause that provides for the payment of a ﬁxed sum due upon nonperformance is a penalty rather than a liquidated damages provision if a court ﬁnds disproportion on the face of the contract.53 In Sun Printing, the Court ﬁrst explained that when a party alleges disproportion, “it has usually been an excessive disproportion between the stipulated sum and the possible damages resulting from a trivial breach apparent on the face of the contract. . . .”54 Five years later, in Bethlehem Steel, the Court reiterated that if the amount provided in the contract is extraordinarily disproportionate to the damage that might result from the failure to perform, “the parties must have intended a penalty, and could not have meant liquidated damages.”55 In Kothe v. R.C. Taylor Trust, the Court refused to honor a residential lease provision that, upon the tenant’s ﬁling of bankruptcy, terminated the lease and awarded the landlord rent for the remainder of the two-year term, which ended up being more than a full year’s worth.56 Although recognizing that courts are inclined to enforce the intentions of the parties and allow liquidated damages, the Supreme Court asserted, “agreements to pay ﬁxed sums plainly without reasonable relation to any probable damage which may follow a breach will not be enforced. This circumstance tends to negative any notion that the parties really meant to provide a measure of compensation. . . .”57 The Court concluded that the provision in Taylor Trust was a penalty.58 2) A Lump Sum A provision that provides for a ﬁxed rather than a variable sum for stipulated damages indicates an intent to penalize because it tends to be more disproportional, bearing a lesser relation to an actual amount of damage.59 In Tayloe v. Sandiford,60 an 1822 construction contract dispute, the Court observed that an agreement to pay a speciﬁed sum weekly while the party failed to complete the work would look much more like liquidated damages than reserving the whole sum as one lump payment.61 The Court summarized, “[i]n general, a sum of money in gross, to be paid for the nonperformance of an agreement, is considered as a penalty. . . .”62 Likewise, in Maryland Dredging & Contracting Co. v. United States,63 the Court found that an excavating contract provision providing $20 for each division for every day the completion was delayed, had no element of deception or exorbitance, and it could “see no ground upon which the claimant can escape from the terms to which he had agreed.”64 Particularly in construction contracts, courts ﬁnd liquidated damages provisions that compensate based on each day’s delay to be “an appropriate means of inducing due performance” or compensating for failure to perform, and courts will enforce them.65

44

ORIGINS

3) Express Language Courts are more likely to determine that a liquidated damages provision is a penalty if the contract language deﬁnes the stipulated amount as a “penalty.” As the Supreme Court observed in Tayloe, “[m]uch stronger is the inference in favour of it’s being a penalty, when it is expressly reserved as one.”66 The covenant at issue in Tayloe read: “The said houses to be completely ﬁnished on or before the 24th of December next, under a penalty of one thousand dollars, in case of failure.”67 The Court found that the plain language of the contract indicated it was a penalty.68 Conversely, in Wise v. United States,69 the government construction contract language read: “[I]n view of the difﬁculty of estimating with exactness the damages which will result, deduct as liquidated damages, and not as a penalty, the sum of two hundred dollars ($200.00) for each and every day during the continuance of such delay and until such work shall be completed. . . .”70 The Court upheld the validity of the provision.71 Although courts have increasingly shown a willingness to enforce liquidated damages provisions, a ﬁnding of disproportionality continues to serve as an effective check on the types of provisions that they will uphold. This area of law demonstrates that proportionality may be used to protect not only individual rights from intrusion but also important common law doctrines, such as just compensation. That proportionality has been used effectively in the United States, albeit in a narrow context, indicates that the principle is consistent with the underpinnings of American common law.

C. PROPORTIONALITY OF COMPENSATORY DAMAGES IN TORT The common law deﬁnition of negligence implicitly incorporates an ends-beneﬁts proportionality analysis. The formula developed by Judge Learned Hand72 balances the probability and severity of the potential harm with the “burden of adequate precaution.”73 Recovery is appropriate when the likelihood or gravity of injury outweighs the cost of providing necessary protection.74 Compensatory damages issues arise primarily in tort cases, which are generally decided under state law. The rare cases heard by the U.S. Supreme Court have been in the area of admiralty law in the context of joint tortfeasors and apportioning liability among multiple defendants. Drawing from the notion of comparative negligence adopted by most state jurisdictions in the United States75—which generally mandated apportionment of damages either in proportion to the fault attributed to the defendant and the plaintiff or among multiple defendants and the plaintiff—the Supreme Court has expressed loyalty to the idea of liability in proportion to fault unless clearly indicated otherwise

Proportionality Principles in the Common Law of Damages

45

by statute. This policy corresponds to its position on liquidated damages: Fairness requires proportionality where that is possible to ascertain unless the relevant parties have expressly intended otherwise, in which case the court should not interfere.

1. Liability in Proportion to Fault: Replacing the Divided Damages Rule In admiralty, like typical state tort cases, where more than one party is at fault, all of the parties should be liable for the harm in proportion to their fault. This is a relatively recent departure from the traditional rule of divided damages. Divided damages operated such that the property damage in a maritime collision or stranding was equally divided whenever two or more parties involved were found to be guilty of contributory fault, regardless of the relative degree of their fault. In United States v. Reliable Transfer Co.,76 the Supreme Court replaced the admiralty rule of divided damages with a new rule requiring, when possible, the allocation of liability for damages in proportion to each party’s relative fault. The Supreme Court reasoned that a vessel should assume a share of the damages in proportion to its share of the blame and that “[a]n equal division of damages is a reasonably satisfactory result only where each vessel’s fault is approximately equal . . . or where proportionate degrees of fault cannot be measured and determined on a rational basis. The rule produces palpably unfair results in every other case.”77 The Court accepted an equal division of damages as equitable “[w]hen it is impossible fairly to allocate degrees of fault.”78 Otherwise, the justices regarded divided damages as an “archaic and unfair rule” and endorsed the apportionment of liability on the basis of fault.79

2. Proportionate Liability When One of Multiple Defendants Settles Even in settlement, the Supreme Court has adhered to the principle that defendants’ liability should be apportioned relative to their fault. In McDermott, Inc. v. AmClyde and River Don Castings, Ltd.,80 the Court held that the liability of nonsettling defendants in admiralty cases should be calculated with reference to the jury’s allocation of proportionate responsibility.81 This apportionment of liability, referred to as the proportionate share rule, is based on fairness. Since “other defendants are not entitled to a reduction in liability when the plaintiff negotiates a generous settlement, . . . they are not required to shoulder disproportionate liability when the plaintiff negotiates a meager one.”82 The Court rejected two pro tanto rule alternatives, each of which would subtract the dollar amount of settlement from the total liability for which the nonsettling defendants would be responsible.83 The ﬁrst alternative left the

46

ORIGINS

nonsettling defendants with a right of contribution against the settling defendants.84 The second did not.85 The Court predicted that under a pro tanto rule, “a litigating defendant’s liability will frequently differ from its equitable share, because a settlement with one defendant for less than its equitable share requires the nonsettling defendant to pay more than its share.”86 The proportionate share approach, whereby the settlement diminishes the injured party’s claim against the nonsettling tortfeasors by the amount of the equitable share of the settling tortfeasor’s obligation rather than by the actual dollar amount of settlement, is more consistent with the proportionate fault approach of Reliable Transfer; litigating defendants ordinarily pay only their proportionate share of the judgment. Under this approach, “no suits for contribution from the settling defendants are permitted, nor are they necessary, because the nonsettling defendants pay no more than their share of the judgment.”87 Courts have applied the proportionate share approach in contexts other than admiralty. Lower courts, for instance, have held that the proportionate share judgment reduction formula, endorsed by the Supreme Court in McDermott, is appropriate in class action settlement agreements.88

D. PRESERVING INTENT Despite its allegiance to the idea of liability in proportion to fault, the Supreme Court has generally deferred to the relevant parties’ intent. In the realm of liquidated damages provisions, the Court honors the parties’ freedom to contract and executes their intentions to the extent allowable by law. In the area of compensatory damages, the Court interprets statutes to execute the intentions of Congress. In Edmonds v. Compagnie Générale Transatlantique,89 the Supreme Court resolved a circuit split over whether, by means of a maritime workers’ compensation scheme,90 Congress intended to impose a proportionate fault rule in admiralty law so as to change the judicially created admiralty rule that the shipowner can be made to pay all the damages not due to the longshoreman’s own negligence.91 The Court held that Congress did not intend to impose a proportionate fault rule, thus preserving joint and several liability. The dissent in Edmonds argued that this was “an unfair and unjust result” and that the Court should fashion a rule of comparative negligence in longshoremen workers’ compensation cases. Despite the dissenting justices’ protests that “[o]ur duty, in such a case, is to adopt the interpretation most consonant with reason, equity, and the underlying purposes Congress sought to achieve,”92 the Court honored what it felt was the legislature’s intent—to preserve joint and several liability.

Proportionality Principles in the Common Law of Damages

47

E. IMPLICIT PROPORTIONALITY PRINCIPLES IN AMERICAN ANTITRUST LAW Some notions of proportionality also exist in other areas of American law governing remedies. Despite the fact that most remedies raise issues similar to those informing the Court’s analysis in punitive damages cases, the Court has been slow to expressly adopt proportionality as a mode of their review. Antitrust remedies provide a good example of this cautious approach. The Court appears to have implicitly adopted several of the proportionality principles we identify, but has never explicitly used the language of proportionality. These judicially crafted applications of proportionality had their origin in the common law.93 There are three aspects in which the Supreme Court’s analysis has implicitly leaned toward using proportionality/reasonableness to determine the adequacy of antitrust remedies. The ﬁrst relates to monetary and injunctive/structural relief in private antitrust actions. The second pertains to damages awards in private antitrust actions. The third is relevant both to monetary relief in private antitrust actions and injunctive/structural relief in private and government antitrust actions. The ﬁrst aspect is the requirement of “antitrust injury” established in Brunswick Corp. v. Pueblo Bowl-O-Mat, Inc.: [T]o recover treble damages on account of § 7 violations, [plaintiffs] must prove more than injury causally linked to an illegal presence in the market. Plaintiffs must prove antitrust injury, which is to say injury of the type the antitrust laws were intended to prevent and that ﬂows from that which makes defendants’ acts unlawful. The injury should reﬂect the anticompetitive effect either of the violation or of anticompetitive acts made possible by the violation. It should, in short, be “the type of loss that the claimed violations . . . would be likely to cause.”94 An antitrust remedy, whether damages or injunctive/structural relief, must redress the harm caused by a violation of the antitrust laws. Like suitability, which is an element of the European Union and German test of proportionality, the requirement of “antitrust injury” tests the reasonable relation of a remedy to the harm it is sought to redress.95 In addition, the requirement that the injury be “the type of loss the claimed violations . . . would be likely to cause” may reﬂect an implicit limiting retributive principle—defendants should not held liable for treble damages if they could not have reasonably foreseen that their violation would cause such injury. The second aspect is the “direct purchaser rule” established in Illinois Brick Co. v. Illinois.96 According to the rule, indirect purchasers are precluded from

48

ORIGINS

seeking treble damages in federal antitrust actions.97 The Third Circuit explained the Supreme Court’s adoption of the direct purchaser rule by the need to contain the extraordinary treble damages remedy under Section 4 of the Clayton Act. In particular, it said that, in view of the remedy’s extraordinary nature, it must be “conﬁned within reasonable limits.”98 Moreover, the Third Circuit implicitly emphasized that the Supreme Court limited the recovery of treble damages to direct purchasers because it was optimal for deterrence of future antitrust violations, it advanced the judicial efﬁciency of the private federal antitrust enforcement system, and it prevented the adverse economic effects that could stem from granting access to the treble damages remedy to indirect purchasers.99 Thus, the adoption of the direct purchaser rule, according to the court, was a result of the balancing of the costs, including excessive treble damages litigation, and beneﬁts of the treble damages remedy in direct and indirect purchaser scenarios. As indicated, the rule reﬂects a proposition that the costs of the treble damages remedy in the indirect purchaser scenario outweighs its deterrence beneﬁts.100 This is an implicit form of ends-beneﬁts proportionality. The third aspect of American remedial antitrust jurisprudence that may have some resemblance to the rule of proportionality is the federal courts’ concern over the scope of injunctive/structural relief. Such relief must be proportional to the harm caused by the defendant’s antitrust violation to the market101—an implicit form of ends-beneﬁts proportionality analysis. What makes the task of assessing the ﬁt between an antitrust remedy in the form of injunctive/structural relief and the harm caused to the market particularly challenging is the fact that, in fashioning a remedy, the courts may address conduct beyond the scope of the conduct that is illegal under the antitrust laws.102 The breadth of allowable injunctive/structural antitrust remedies is not without limits. One limit is that the remedy must be ﬁt to redress the loss to the market caused by the defendant’s antitrust violation.103 Another limit on the scope of allowable nonmonetary antitrust remedies was mentioned in United States v. Microsoft Corp.104 The court established a relationship of proportionality between the severity of the remedy and the strength of the causal connection “between the conduct and the creation or maintenance of the market power”: “Mere existence of an exclusionary act does not itself justify full feasible relief against the monopolist to create maximum competition. Rather, structural relief, which is designed to eliminate the monopoly altogether . . . require[s] a clearer indication of a signiﬁcant causal connection between the conduct and creation or maintenance of the market power.”105 Finally, the scope of a nonmonetary antitrust remedy, similarly to punitive damages,106 depends on the reprehensibility of the illegal conduct, thus suggesting an implicit version of limiting retributive proportionality.107 In United States

Proportionality Principles in the Common Law of Damages

49

v. U.S. Gypsum Co.,108 the Court speciﬁcally emphasized that more reprehensible conduct warrants “call[s] for repression by sterner measures than where the steps could reasonably have been thought permissible.”109 The principle of proportionality/reasonableness is an ancient one preceding the formation of the U.S. legal system we know today. In antitrust jurisprudence, the Court has relied on implicit notions of proportionality when crafting remedies. The “antitrust injury” requirement reﬂects the German suitability concept and perhaps also the limiting retributive liability principle that governs who may be held liable, while the requirement of proportionality in the scope of the remedy adheres to both the limiting retributive severity principle and ends-beneﬁts proportionality. The latter principle also informs the “direct purchaser rule,” thereby limiting those who may seek treble damages because the ends of such allowance are not justiﬁed in light of their overwhelming cost. Common law contract cases reference the concept of proportionality in determining what is fair and just. To the extent that the Supreme Court has decided issues of determining damages, the Court has expressed a commitment to the idea of proportionality. Whether in the context of foreseeable damages, liquidated damages, or compensatory damages, the Court’s position seems to be that fairness requires proportionality except (1) when the relevant parties have expressly intended otherwise and (2) when it is impossible to ascertain the proper proportions.

This page intentionally left blank

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

I

II

n contrast to the practice of the foreign jurisdictions described in part I, American jurisprudence has made only limited use of the term “proportionality” in the evaluation of government conduct.1 Proportionality is rarely mentioned as an underlying basis of constitutional decisions. Despite the reluctance of American courts expressly to employ proportionality as a limit to government discretion, the values promoted by proportionality have not been rejected by American constitutional jurisprudence. Traces of notions akin to proportionality, including balancing of constitutional values,2 appear in the U.S. system of substantive doctrinal standards of constitutional judicial review.3 More important, the Supreme Court has explicitly used the term “proportionality” in several matters that came under its review4—in particular, punitive damages,5 property permit conditions,6 congressional enforcement actions under Section 5 of the Fourteenth Amendment,7 criminal penalties,8 and

51

52

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

forfeitures.9 The ﬁrst three topics are discussed in chapter 4 of this part; criminal penalties and forfeitures are discussed in part III. However, this presence of proportionality in American law can be quite misleading. The prevailing two-tier system of judicial review10 is a set of categorical rules that allow courts to decide cases based on a characterization at the outset of the aspects of individual autonomy implicated by government regulation. This system excludes a meaningful reconciliation, usually present in foreign decisions applying proportionality, of individual autonomy values and the goals justifying the government action.11 If the only protection for which an individual’s interest or right qualiﬁes is rational basis, the individual’s case against government regulation is frequently lost. Likewise, if the government happens to venture into an area governed by strict scrutiny, the individual is likely to prevail.12 Even in its express resort to proportionality, the Supreme Court is either inconsistent or frequently unaware of the doctrine’s broader application. The inconsistency is well illustrated by the fact that defendants enjoy the strong protection of the principle of proportionality from excessive punitive damages and forfeitures,13 but they are virtually unprotected from excessive imprisonment.14 With respect to punitive damages and land-use permit conditions—both socioeconomic matters that traditionally fall under rational basis review—the Court employs proportionality not to embrace the principle that government regulation must be proportional to the ends sought and attendant harm to an individual but rather to create a standard of review stricter than rational basis but more deferential to government than intermediate scrutiny. This practice unjustiﬁably transforms the versatile and ﬂexible principle of proportionality into a narrow standard applicable to only a few narrow matters of constitutional law. Finally, the Court, by requiring “rough” proportionality, marginalizes the principle of proportionality in land-use permit conditions and federal enforcement actions under Section 5 of the Fourteenth Amendment.15 By deﬁnition, proportionality as a measure of constitutional compliance is never exact; thus, the use of the word “rough” in conjunction with the principle of proportionality suggests the Court’s intention to dilute further the principle’s force. In this part we provide a brief, critical analysis of the Supreme Court’s general substantive standards of judicial constitutional review and the related doctrine of fundamental rights (chapter 3). We then touch on modern proportionality trends in the Supreme Court’s constitutional jurisprudence and discuss the internal inconsistencies in the Court’s analysis (chapter 4).

3

IMPLICIT PROPORTIONALITY PRINCIPLES IN AMERICAN STANDARDS OF CONSTITUTIONAL REVIEW

despite calls for a sliding scale of judicial constitutional review,1 the high court has for the most part retained its two rigid standards of strict and rational basis scrutiny.2 These standards generally apply to challenges of state or federal legislation under the due process and equal protection clauses of the U.S. Constitution. Although these tests are often called standards of judicial review, they are more similar to legal rules than standards.3 Indeed, they help the Court to categorize cases that involve a variety of competing interests into either strict or rational basis scrutiny.4 The Court, however, has deviated from this rigid categorization of constitutional issues in limited circumstances, developing what is known as a rational basis standard with bite, an intermediate scrutiny standard, and recently a softer version of strict scrutiny.5 It is not surprising that these exceptions involve some balancing of competing constitutional interests implicated by a government action. After all, the move to a more ﬂexible mode of constitutional review in several limited areas is consistent with the ideal of a sliding-scale judicial review that usually involves a degree of constitutional balancing. Such balancing of competing interests resembles ends-beneﬁts proportionality analysis, although the Court rarely uses the language of proportionality. In contrast, the Court’s traditional rational basis and strict scrutiny tests apply implicit ends-proportionality principles more 53

54

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

crudely. The importance of the government’s asserted goals, the likely beneﬁts, and the resulting burdens on individual autonomy are evaluated in a categoric fashion, which, depending on the categorization, determines the outcome. On the other hand, the traditional “narrow-tailoring” requirement of strict scrutiny has always permitted case-speciﬁc analysis in a manner quite consistent with alternative-means proportionality principles.

A. STRICT SCRUTINY If a government action is subject to strict scrutiny, the action is almost always invalidated.6 To survive strict scrutiny, a government action must be necessary to achieve a compelling government interest.7 This method of constitutional analysis employs several inquiries that are also present in traditional proportionality review. First, the Court must determine whether the government action infringes on a fundamental right or discriminates against a suspect class.8 If it does, the Court must invalidate the government action unless it is necessary for the attainment of a compelling government interest.9 The government interest involved must be sufﬁciently important to justify a suspect classiﬁcation or government invasion of individual autonomy.10 The result is that the government action is invalidated if the Court is able to ﬁnd a less restrictive, yet equally effective, alternative to the proposed method. Strict scrutiny in substantive due process and equal protection cases derives its force from the famous footnote 4 in the Supreme Court case United States v. Carolene Products Co., which indicates that the presumption of constitutionality of government action will have a signiﬁcantly lesser force in situations involving “prejudice against discrete and insular minorities” or an infringement of a fundamental right.11 In some respects, strict scrutiny is similar to the absolute protection of “inner core” autonomy in Germany, as only a rare statute can survive strict scrutiny.12 However, a recent case shows the Court’s move toward a softer strict scrutiny standard at least in the area of afﬁrmative action. In Grutter v. Bollinger, the Supreme Court declared that “strict scrutiny is not strict in theory, but fatal in fact.”13 Using racial classiﬁcation as an example, the Court explained that, although people suffer injury under the Equal Protection Clause whenever a government action treats them unequally based on their race, the suspect action must not be automatically invalidated.14 The Court went on to point out that the goal of strict scrutiny is to assist the Court in determining whether the government interest underlying the proposed classiﬁcation is sincere and sufﬁciently compelling to outweigh the right of an individual to equal protection.15 In other words, the Court said that not all use of race in government

Implicit Proportionality Principles in American Standards of Constitutional Review

55

regulation is prohibited; the Court’s decision will consider the context in which race is used. Using this line of reasoning, the Court approved the afﬁrmative action program at the University of Michigan Law School.16 The Court considered student diversity a sufﬁciently compelling government interest to allow the law school to take race into account when making admissions decisions.17 The Court’s decision is unusual when viewed from the standpoint of conventional strict scrutiny. Rather than review the compelling nature of student diversity—the goal that the school claimed justiﬁed using race in the admissions process—and the means used for its attainment with the usual thoroughness and skepticism characteristic of strict scrutiny review, the Court deferred to the law school’s educational judgment.18 The dissenting justices criticized the majority’s decision, arguing that deference has no place in strict scrutiny.19 The Court performed its analysis of the law school’s race-conscious admissions program in a similar deferential fashion under the “narrowly tailored” prong.20 It was satisﬁed that the program was narrowly tailored to the compelling state objective of student diversity.21 According to the Court, if a race-conscious admissions program uses race as a plus factor and allows individualized consideration of a variety of other factors bearing on diversity, the members of other racial or ethnic groups will not be foreclosed from competing for enrollment.22 The Court found that the law school’s admissions program allowed this result since it required that students be selected who demonstrate the greatest potential to enhance diversity, irrespective of the nature of diversity-enhancing factors.23 Grutter marks a substantial relaxing of the strict scrutiny analysis, at least in the context of higher education. According to the principles pronounced by the Court in Grutter, the invalidation of a government action is no longer predetermined merely because it falls within the ambits of strict scrutiny. Instead, the fate of a government action is decided by balancing the competing constitutional interests in speciﬁc contextual circumstances. This type of balancing is characteristic of the ends-beneﬁts proportionality principle employed in foreign jurisdictions24 and of intermediate scrutiny used by the Supreme Court in gender discrimination cases, dormant commerce clause cases, and some First Amendment scenarios. Similar softening of strict scrutiny review has also occurred in the ﬁeld of substantive due process, where strict scrutiny is employed to protect fundamental rights from government intrusion. Planned Parenthood of Southeastern Pennsylvania v. Casey 25 is an example in which the Court applied a less rigid strict scrutiny approach. In Casey, the Court adopted an “undue burden” method of balancing a woman’s right to terminate her pregnancy with the state’s “profound interest in potential life.”26 The government is permitted to promote its pro-life interests as long as it does not impose an undue burden on a woman’s freedom to have

56

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

an abortion.27 In other words, instead of allowing one of the competing interests to override the other, the Court established a standard that accommodated both of them. By contrast, conventional strict scrutiny allows one of the competing interests to completely override, not accommodate, the other. The overridden interest regains its power only when the right or freedom protected by strict scrutiny is abused and causes harm to others. This type of overriding analysis is found in Roe v. Wade,28 which established a woman’s limited right to terminate her pregnancy. Roe prohibited any interference with a woman’s decision to terminate her pregnancy during the ﬁrst trimester.29 The state’s interest in the potentiality of human life was suspended until after viability, when, in the Court’s opinion, a woman’s decision to have an abortion could harm a viable human organism.30 A similar conventional approach was employed in relation to several other freedoms such as the right to marry;31 the right to have children;32 the right of parents to control the upbringing of their children;33 the right to marital privacy, including the right to procreate or not to procreate;34 the right to use contraception;35 the right to bodily integrity;36 the right to refuse medical treatment;37 and other fundamental rights.38 None of these rights is absolute; strict scrutiny is employed to ensure that their exercise is suspended only when necessary to accommodate an overriding state interest such as public safety and health. In a sense, the Court engages in balancing when contemplating the enforcement of these rights, but the extent of this balancing is narrower than under the standard proposed in Casey and Grutter. Further, the Court did much more in Casey than just soften the strict scrutiny standard of review and allow for balancing. It gave the constitutional doctrine of fundamental rights a semblance of proportionality to review the constitutional validity of government interference. The Court arguably used the language “undue burden”39 to signal its intention to inquire into the proportionality of the beneﬁts of a state action to the harm inﬂicted on the bearer of a fundamental right to have an abortion. The concept of undue burden contemplates the existence of some due, or fair, burden. There is little doubt that to constitute a due burden, the beneﬁcial effects of a state action must be proportional to the inconvenience suffered by the bearer of the right to abortion. Otherwise, the burden would be undue; the utility of the state action would then be outweighed by its disutility. Strict scrutiny has traditionally been observed to result in a virtually automatic invalidation of a challenged federal or state action.40 The situation may change, however, in light of the constitutional developments described earlier, which indicate that the Court is willing to consider strict scrutiny’s less rigid alternatives. There is also much potential for the application of the principle of proportionality in the ﬁeld of constitutional protection of fundamental rights,

Implicit Proportionality Principles in American Standards of Constitutional Review

57

primarily because these rights are not absolute and their exercise may be subject to government interference. Indeed, the principle of proportionality is very well suited for limiting regulatory or legislative discretion to means that are necessary and proportionate to the desired results. In short, proportionality is an essential tool that the Supreme Court could use to detect unnecessary government usurpation of individual autonomy because, in addition to the suitability and necessity of a government action, proportionality weighs the corresponding burden on individual autonomy against the proposed action’s anticipated beneﬁcial outcome.

B. INTERMEDIATE SCRUTINY Intermediate scrutiny is a less exacting test applied when there is no objective basis for a strong presumption in favor of or against the validity of a government action.41 This occurs when competing constitutional interests have relatively equal constitutional standing. For instance, nondiscriminatory state legislation is reviewed with intermediate scrutiny under the dormant commerce clause42 because it carries sufﬁcient constitutional weight to compete with the federal interest on an equal footing. By contrast, facially or otherwise discriminatory laws are subject to a more rigorous scrutiny mainly because their discriminatory nature provides a sufﬁcient assurance of their invalidity and diminishes the weight of the underlying state interest.43 The Supreme Court formulated the test for nondiscriminatory state legislation in Pike v. Bruce Church, Inc.:44 “[W]here the statute regulates even-handedly to effectuate a legitimate local public interest, and its effects on interstate commerce are only incidental, it will be upheld unless the burden imposed on such commerce is clearly excessive in relation to the putative local beneﬁts.”45 This is an American rendition of the principle of proportionality found in German and European Union law; all of the elements of proportionality are present. First, the extent of the burden tolerated depends on the importance of the state interest. In the same way, the comparative weight of competing constitutional interests is instrumental in German constitutional law46 for determining the extent of deference to a government regulation. Second, the requirement of suitability is either implicit or represented by the words “the statute regulates . . . to effectuate a legitimate local public interest.” Because a statute cannot regulate to effectuate a legitimate state interest unless it is suitable for such effectuation, under this test, the Court will have to consider whether the statute is suitable to achieve the desired public objective.47 Third, the Court pronounced the requirement of necessity of the state action in Pike when it said that “the extent of the burden that will be tolerated will . . . depend . . . on whether it could be promoted

58

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

as well with a lesser impact on interstate activities.”48 Finally, the Pike Court laid out the third requirement of the principle of proportionality—proportionality in the narrower sense—by speciﬁcally commanding that the burden the state statute imposed on interstate commerce could not be “clearly excessive in relation to the putative local beneﬁts.”49 The weighing of the evils and beneﬁts of a state action is a quintessential characteristic of the requirement of proportionality in the narrower sense.50

1. First Amendment Protections of Speech A similar approach may be observed in some First Amendment cases. In fact, Justice Breyer, who is a strong proponent of the principle of proportionality,51 expressly suggested that it be used in such situations to ﬁnd a constitutional equilibrium. In Nixon v. Shrink Missouri Government PAC, he stated: In such circumstances—where a law signiﬁcantly implicates competing constitutionally protected interests in complex ways—the Court has closely scrutinized the statute’s impact on those interests, but refrained from employing a simple test that effectively presumes unconstitutionality. Rather, it has balanced interests. And in practice that has meant asking whether the statute burdens any one such interest in a manner out of proportion to the statute’s salutary effects upon the others (perhaps, but not necessarily, because of the existence of a clearly superior, less restrictive alternative). Where a legislature has signiﬁcantly greater institutional expertise, as, for example, in the ﬁeld of election regulation, the Court in practice defers to empirical legislative judgments—at least where that deference does not risk such constitutional evils as, say, permitting incumbents to insulate themselves from effective electoral challenge.52 Justice Breyer’s language proposed to apply a standard that balances competing constitutional interests—a characteristic of intermediate scrutiny—to all cases in which the protection of First Amendment free speech rights faces competition from a similarly important constitutional right. The Court did not expressly adopt this proposition. It did, however, create an intermediate scrutiny standard for all “content-neutral” regulation of speech,53 arguing that the government’s burden to justify “time, place, and manner” regulations addressing the “secondary effects” of speech should be lower than strict scrutiny because they did not pose such a serious threat to the right to free speech as “content-based” regulations would pose.54 “Content-based” regulations of speech are still subject to the strict scrutiny standard of judicial review.55

Implicit Proportionality Principles in American Standards of Constitutional Review

59

In United States v. O’Brien,56 the Court established the requirements for the application of the intermediate scrutiny standard to regulations affecting speech. Such a regulation must be within the government’s constitutional power and must be adopted in furtherance of an important or substantial government interest.57 The former requirement resonates with that of suitability, one of the elements of the test of proportionality in Germany and the European Union, but the O’Brien test goes further: The insistence on an important or substantial government interest represents an implicit form of categoric ends-proportionality analysis (whereas the third German and EU test, proportionality in the narrow sense, is an endsproportionality standard that evaluates government interests on a sliding scale).58 The requirement mentioned in O’Brien that government regulation be unrelated to the suppression of free expression also pertains to suitability.59 The notion of necessity, the test of proportionality in Germany and the European Union,60 was reﬂected61 in O’Brien’s requirement that a government regulation restrict no more protected interests than were needed for addressing the government’s legitimate interests.62 Unlike the European and German tests,63 however, intermediate scrutiny does not require strict necessity (least restrictive means).64 a. The Overbreadth Doctrine In addition to the listed requirements, the test of intermediate scrutiny regarding “content-neutral” regulation affecting speech is modiﬁed by the so-called overbreadth doctrine. This doctrine has elements of both the second and the third tests of proportionality in German and EU law;65 the Court examines not only the availability of more narrowly tailored means (necessity) but also the degree of interference with protected activity (proportionality in the narrow sense). The overbreadth doctrine allows facial challenges of a law if it punishes a “substantial” amount of protected speech, “judged in relation to the statute’s plainly legitimate sweep.”66 A ﬁnding of overbreadth allows the plaintiff to request a complete invalidation of the law “until and unless a limiting construction or partial invalidation so narrows it as to remove the seeming threat or deterrence to constitutionally protected expression.”67 The Court explained the availability of this remedy based on the concern that the threat of enforcement of an overbroad content-neutral law may “ ‘chill’ constitutionally protected speech.”68 The relation of the overbreadth doctrine to proportionality is based on more than a mere implication from the language adopted by the Supreme Court to describe the doctrine. In fact, Justice Scalia, delivering the Court’s opinion in Virginia v. Hicks69—and, incidentally, rejecting the plaintiff ’s request to apply the overbreadth doctrine in that case70—explicitly criticized the decision of the Supreme Court of Virginia under consideration as erroneous for ignoring “the

60

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

proportionality aspect of [the Court’s] overbreadth doctrine.”71 He said that a facial challenge of a law based on its overbroad application to protected speech required substantial effects on the protected speech “not only in an absolute sense, but also relative to the scope of the law’s plainly legitimate application.”72 He added that it was the effect of the law on protected speech “taken as a whole” that was considered for the purposes of determining its overbreadth.73 In the conclusion of his opinion in Hicks, Justice Scalia added one other caveat to the application of the overbreadth doctrine: “[T]he overbreadth doctrine’s concern with ‘chilling’ protected speech ‘attenuates as the otherwise unprotected behavior that it forbids the State to sanction moves from “pure speech” toward conduct.’ ”74 A law will rarely be invalidated with the use of the overbreadth doctrine, then, if it is not directed at speech or conduct substantially related to speech.75 b. Commercial Speech Proportionality is also present in cases that deal with the “commercial speech doctrine,” a matter related to trade and antitrust regulation, as well as to the protection of the freedom of speech rights under the First Amendment. Under the commercial speech doctrine, the government cannot regulate speech that does not threaten the asserted state interest, “nor can it completely suppress information when narrower restrictions on expression would serve its interest as well.”76 This formulation implicitly invokes alternative-means proportionality principles. In determining whether a government regulation of commercial speech is overbroad or excessive, the court must ﬁrst determine whether an expression is protected by the First Amendment.77 To qualify, commercial speech must concern lawful activity and not be misleading.78 The next inquiry is whether the government’s interest is substantial,79 a test that invokes implicit ends-beneﬁts proportionality principles in a categoric rule: The potential beneﬁts associated with less than “substantial” government interests can never justify burdens on commercial speech. If that test is met, the court “must determine whether the regulation directly advances the governmental interest asserted and whether it is not more extensive than necessary to serve that interest.”80 The Court has expressly invoked proportionality principles in some of these cases, but the justices continue to debate the level of proportionality necessitated by this fourth and ﬁnal requirement.81 In Central Hudson,82 the Court found that the contested advertising of electric energy could advance valid business goals that were not related to the asserted government interest of conserving energy.83 The Court said: “To the extent that the Commission’s order suppresses speech that in no way impairs the State’s interest in energy conservation, the Commission’s order violates the First and Fourteenth Amendments . . .”84 The Court also held that the regulation was overbroad because

Implicit Proportionality Principles in American Standards of Constitutional Review

61

the commission could not prove that a narrower means would be completely ineffective.85 Note that the commercial speech doctrine is not a subspecies of the overbreadth doctrine we discussed earlier in this book because, under the commercial speech doctrine, the plaintiff is asserting its own First Amendment rights, not the rights of chilled third parties.86 To summarize, the constitutional standards that govern the regulation of commercial speech implicitly incorporate both ends- and means-proportionality principles. Ends proportionality is implicit in the requirement of a substantial government interest; means-proportionality analysis is implicit when courts consider the availability and effectiveness of narrower restrictions on the speech.

2. Gender The intermediate scrutiny used in gender discrimination appears to be more rigorous than that employed in constitutional review of state actions under the dormant commerce clause and the First Amendment. The state bears the burden of justiﬁcation for a classiﬁcation based on gender.87 The justiﬁcation must be “exceedingly persuasive.”88 The Court admitted the existence of inherent differences between men and women but cautioned that these differences justify only actions “to compensate women ‘for particular economic disabilities [they have] suffered,’ ”89 “to ‘promot[e] equal employment opportunity,’ ”90 and “to advance full development of the talent and capacities of our Nation’s people.”91 However, they cannot be used to promote “legal, social, and economic inferiority of women.”92 Intermediate scrutiny has been instrumental in embedding the roots of the principle of proportionality in American constitutional jurisprudence. It is arguably an effective tool for harmonizing competing constitutional interests. In spite of this, intermediate scrutiny should not be used to assess the validity of government interference with strong overriding interests. Otherwise, the constitutional weight of the interest will be diminished by the concomitant deference to the state.

C. RATIONAL BASIS Rational basis review is employed in situations where strict or intermediate scrutiny is inapplicable. All laws must meet this minimum level of constitutional scrutiny.93 Like strict scrutiny, the traditional rational basis standard is outcome determinative—government action subject to rational basis review is afforded a strong presumption of constitutional validity. As such, it is rarely invalidated.94

62

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

Such minimal scrutiny corresponds to the suitability test of proportionality in Germany and the European Union. However, where it applies, rational basis is the only test, whereas Germany and the EU also apply two additional tests (necessity and proportionality in the narrow sense) corresponding to means and ends proportionality. Recent Supreme Court decisions that adopt somewhat stricter standards reﬂect dissatisfaction with the toothlessness of rational basis review.

1. Traditional Standards The traditional rational basis test is highly deferential to the government.95 It merely requires that the law be rationally related to a legitimate government purpose.96 The purpose does not have to be actual; for rational basis review, the Court can accept any conceivable government objective.97 For example, in Federal Communications Commission v. Beach Communications, Inc., the Court said that “those attacking the rationality of the legislative classiﬁcation have the burden ‘to negative every conceivable basis which might support it.’ ”98 The rational basis standard tolerates both under-99 and overinclusiveness100 of a legislative act. Thus, for rational basis purposes, a law does not have to affect everyone similarly situated the same. Courts “are compelled under rational-basis review to accept a legislature’s generalizations even when there is an imperfect ﬁt between means and ends.”101 As indicated, the rational basis standard is applied to the majority of state and federal economic and social legislation that does not involve a fundamental right or suspect classiﬁcation.102 The extreme deference to the government that courts exercise when reviewing state action under the rational basis test emerged as a response to excessive judicial interference with the states’ police powers during the so-called Lochner era.103 Under Lochner v. New York,104 the Court showed little or no deference to the states’ political and economic judgment. Economic and social laws were overturned on the ﬁnding that they were not reasonably related to the declared end. The principle of rational relation of regulatory means to the desired objectives proclaimed in Lochner bears some notion of proportionality in that it was intended to protect the freedom of individuals from government interference with their economic activity. In Lochner, for example, the Court overturned as unduly intrusive a law restricting bakers’ working hours, holding: “The [state] act must have a more direct relation, as a means to an end, and the end itself must be appropriate and legitimate, before an act can be held to be valid which interferes with the general right of an individual to be free in his person and in his power to contract in relation to his own labor.”105

Implicit Proportionality Principles in American Standards of Constitutional Review

63

Although the legislature based the law on perceived threats to “the safety, the morals, [or] the welfare . . . of the public,” the Court was unable to ﬁnd any such danger caused by allowing bakers the freedom to set their working hours.106 It held that, bearing no rational relation to its declared objectives, the challenged state action unduly interfered with the freedom of individuals “to make contracts regarding labor upon such terms as they may think best.”107 The fallacy in the Lochner Court’s application of balancing under the adopted rational basis test was that it did not balance the competing interests. Rather, the Court used heightened scrutiny to invalidate the state law at issue in that case without giving any weight to its social purpose and utility.108 The Court limited the state interests that could compete with the individual economic freedom to public health, safety, and morals.109 Along similar lines, it invalidated minimum wage laws,110 laws protecting unionizing,111 and consumer protection laws.112 A signiﬁcant jurisprudential change occurred nearly thirty years later in 1934, when the Court in Nebbia v. New York sustained price regulations for milk.113 Regarding the groundwork for an inquiry into the proportionality of government measures, the Court said: Under our form of government the use of property and the making of contracts are normally matters of private and not of public concern. The general rule is that both shall be free of governmental interference. But neither property rights nor contract rights are absolute; for government cannot exist if the citizen may at will use his property to the detriment of his fellows, or exercise his freedom of contract to work them harm. Equally fundamental with the private right is that of the public to regulate it in the common interest.114 Implicit in this language is the notion that the Court is willing to engage in constitutional balancing as a means to harmonize the competing individual and public constitutional interests in the socioeconomic ﬁeld. Regrettably, the Court failed to advance this idea into an overarching requirement of proportionality of government action. Eventually the Court moved from the position of no deference to that of broad deference to state socioeconomic legislation.115

2. Rational Basis with a Bite A positive shift in the direction of a more searching rational basis review outside the areas traditionally reserved for strict or intermediate scrutiny can be gleaned from several recent Supreme Court decisions. The ﬁrst group of cases reveals congressional or state desire to harm a politically unpopular or disadvantaged group;

64

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

the Court focuses on the hurtful legislative intent, declares it to be illegitimate, and declines to consider or posit possible valid government purposes (as is done under traditional rational basis review, discussed earlier). The second group deals with the protection of individuals, entities, and states from excessive civil penalties and unconstitutional enforcement actions. In this part we focus primarily on the ﬁrst group. The second group of cases is discussed in chapter 4. The ﬁrst important decision of the Supreme Court to invalidate a piece of federal legislation because it failed the rational basis test was United States Department of Agriculture v. Moreno.116 The Court invalidated § 3(e) of the Food Stamp Act of 1964, which, “with certain exceptions, exclude[d] from participation in the food stamp program any household containing an individual who [was] unrelated to any other member of the household.”117 Sensing that the challenged legislation would primarily harm “those persons who are so desperately in need of aid that they cannot even afford to alter their living arrangements so as to retain their eligibility” under the food stamp program, the Court concluded that the challenged classiﬁcation was not related rationally to the stated purpose of the act, which was to stimulate the agricultural economy by purchasing farm surpluses.118 The Court, moreover, rejected an additional government objective of preventing “so-called ‘hippies’ and ‘hippie communities’ from participation in the food stamp program” found in the legislative history.119 In particular, the Court pointed out that “a bare congressional desire to harm a politically unpopular group cannot constitute a legitimate government interest.”120 Finally, the Court rejected the government’s contention that preventing “hippie communities” from participating in the food stamp program served the purpose of minimizing fraud in the administration of the program. It reasoned that the antifraud mechanisms incorporated into the Food Stamp Act were sufﬁcient to ﬁght fraud in this ﬁeld.121 According to the Court, the challenged exclusion of households containing unrelated persons from the food stamp program would not so much minimize fraud as harm those who cannot afford separate residences to retain their eligibility under the program.122 The Court employed similar reasoning in City of Cleburne v. Cleburne Living Center, Inc., in which the city of Cleburne, Texas, had denied a special use permit for the operation of a group house for persons with a mental disability.123 As in Moreno, the Court perceived a strong hint of prejudice and invalidated the government action.124 The Court, however, rejected the proposal to afford a quasi-suspect status to persons with a mental disability because of the state’s need to deal with different variations of mental disability, from slight deviations in the functioning of mental facilities to severe impairments of mental activity.125 The Court found additional support for its decision in an argument similar to that used in gender

Implicit Proportionality Principles in American Standards of Constitutional Review

65

classiﬁcation. In particular, it stated that a requirement that a state must justify its efforts in protecting and helping persons with a mental disability would chill much beneﬁcial government action in this ﬁeld.126 It added that “given the wide variation in the abilities and needs of the [persons with a mental disability] themselves, governmental bodies must have a certain amount of ﬂexibility and freedom from judicial oversight in shaping and limiting their remedial efforts.”127 The denial of quasi-suspect status to persons with a mental disability did not prevent the Court from invalidating the permit requirement under the rational basis test. Having analyzed the proffered reasons in this case for denying the permit to the group home for persons with a mental disability, the Court concluded that the city’s decision was driven by an “irrational prejudice against the mentally [disabled].”128 These considerations provided no rational basis for denying the permit. Other examples of rigorous use of the rational basis test along the same lines include two Supreme Court decisions that deal with state regulation targeting the freedom of sexual orientation and sexual activity. In the ﬁrst case, Romer v. Evans,129 the Court invalidated a constitutional amendment that deprived gays, lesbians, and bisexuals of state antidiscrimination protection. The Court considered the breadth of the amendment’s effect on a single named group to speak of nothing but “animus toward the class it affects.”130 The Court was particularly disturbed by the fact that this animosity may have caused the state to single out the named class from the rest of its citizens to deprive it of any opportunity to seek government protection except by constitutional amendment.131 As a measure that intends to make gays, lesbians, and bisexuals unequal to everyone else, the amendment was invalidated. In the second case, Lawrence v. Texas,132 the Court strengthened the protection of the freedom of sexual orientation and sexual activity under the due process clause. The Court reviewed a challenge to a Texas statute that criminalized consensual sodomy between two persons of the same sex in the privacy of their home. Unlike in Romer, the Court decided to invalidate the Texas statute under the due process clause133 to provide protection from government interference with the freedom of sexual orientation and sexual activity irrespective of an individual’s membership in a discrete class or group. It held that criminalizing sodomy between members of the same sex in this situation not only gave effect to an unlawful public prejudice against a speciﬁc choice of sexual orientation but also constituted an unwarranted government intrusion into a sphere of protected individual liberty.134 Generalizing from all of these cases, it seems the Court may be willing to apply a more rigorous scrutiny than the conventional rational basis test in circumstances in which it perceives a strong countervailing interest of individual liberty

66

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

or senses that a government action implicitly promotes public prejudice against a single named group. This so-called rational basis test with a bite appears to be more ﬂexible than ordinary rational basis review in accommodating a variety of societal and individual interests without denigrating any of them or blindly allowing one interest to override another. Such qualities make it a model for transitioning the two-tier system of constitutional review into a meaningful sliding-scale proportionality analysis. Furthermore, developments in the ﬁeld of fundamental rights, such as Lawrence’s remarkable expansion of the scope of individual autonomy entitled to more than nominal protection under the due process clause, will require proportionality to play a more prominent role in U.S. constitutional jurisprudence. Foreign experience shows that proportionality is better suited for reconciling the expansion of protected individual autonomy with the rule of law principle that individual autonomy should be preserved insofar as it does not harm others or inhibit the normal functioning of human society.135 Proportionality can balance competing constitutional interests without allowing the majority to impose its views of morality on the minority unless those views are independently supported by evidence of some important public interest.136 By contrast, the existing conclusory-oriented tests of strict scrutiny and rational basis simply lack the ability to check the regulatory discretion of the state in accord with the growing realization of individual autonomy, leaving a substantial part of individual autonomy unprotected.

4

EXPLICIT PROPORTIONALITY PRINCIPLES IN DISCRETE AREAS OF AMERICAN JURISPRUDENCE

despite the traditional application of the deferential rational basis standard of judicial review to government action in the sphere of socioeconomic regulation,1 the U.S. Supreme Court has moved in select areas of its jurisprudence toward a more searching scrutiny than is typically present in rational basis decisions. We have already discussed the effect of the Court’s enhanced rational basis review on matters of equal protection and substantive protection of individual autonomy. We now turn to its explicit use of proportionality as a means of increased constitutional oversight of remedial or regulatory actions, including (1) punitive damages, (2) land-use exactions, (3) attorney’s fees awards, and (4) federal enforcement measures under Section 5 of the Fourteenth Amendment. As we will see, the Court applies different degrees of proportionality to different remedial measures. It demonstrates an initial, although inconsistent, doctrinal readiness for the gradual importation of the overarching principle of proportionality into U.S. constitutional law. On the other hand, selective employment of proportionality in various socioeconomic matters may have a negative impact on the prospects of introducing proportionality as a general instrumental tool of constitutional review. It is patently obvious from the cases that follow that the Court uses proportionality as another standard of review, placed in light of its level of intensity between rational 67

68

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

basis and intermediate scrutiny. In this manner, the role of proportionality may become marginalized in those areas where the Court chooses not to apply it as an express limitation on government discretion.

A. THE PROPORTIONALITY OF PUNITIVE DAMAGES Punitive2 and compensatory damages serve different purposes. Compensatory damages compensate a plaintiff for the loss suffered as a result of the defendant’s wrongful conduct.3 Punitive damages, on the other hand, have no compensatory basis;4 they serve the broader public functions of deterrence and retribution.5 States possess a substantial amount of autonomy in promoting private enforcement of public interests through the mechanism of punitive or exemplary damages.6 As a general matter, the Supreme Court found this autonomy to be consistent with the guarantees of fundamental fairness enshrined in the due process clause of the Fourteenth Amendment7 and refused, in large measure because of its consistent common law history, to declare the common law method of assessing punitive damages unconstitutional per se.8 The Court, nonetheless, acknowledged very early in the history of punitive damages that they may become suspect under the due process clause when they are “wholly disproportioned to the offense and obviously unreasonable.”9 This position remained largely symbolic throughout the twentieth century until BMW v. Gore, when the Court invalidated a punitive damages award as excessive under the due process clause.10 As discussed later, the factors used by the Court in identifying unconstitutionally disproportionate punitive damages awards seem to incorporate all three principles we have identiﬁed: limiting retributive, ends-beneﬁts, and alternativemeans proportionality. When the Court’s punitive damages standards and holdings are compared to those in prison-duration cases (discussed in chapter 7), it appears that the Court grants more protection to the security of civil defendants’ property than to criminal defendants’ liberty.

1. Pre-BMW Jurisprudence Several important principles that govern matters of constitutional validity of punitive damages were elaborated prior to BMW. In Browning-Ferris Industries of Vermont, Inc. v. Kelco Disposal, Inc.,11 the Court held that the excessive ﬁnes clause of the Eighth Amendment did not apply to punitive damages. The Court explained that the excessive ﬁnes clause was “concerned with criminal punishment and with direct actions initiated by government

Explicit Proportionality Principles in Discrete Areas of American Jurisprudence

69

to inﬂict punishment.”12 Accordingly, the intent of the Eighth Amendment was to address potential government abuse of its prosecutorial power, not to constrain the state’s ability to facilitate private enforcement of public interests through punitive damages.13 The Court refused to decide whether excessive punitive damages could violate the due process clause because the issue had not been properly raised on appeal.14 It also rejected the plaintiffs’ invitation to impose a common law requirement of reasonableness on state punitive damages awards because common law excessiveness principles, as matters of state law, were outside the Court’s jurisdiction.15 The next two decisions tested the validity of punitive damages under the due process clause. In Paciﬁc Mutual Life Insurance Co. v. Haslip,16 the Court upheld an award of punitive damages because the award was based on identiﬁable objective criteria of reasonableness, notwithstanding the facts that it was four times the amount of compensatory damages, two hundred times the amount of the plaintiff ’s out-of-pocket expenses, and larger than any available applicable criminal ﬁne.17 The Court refused to ﬁnd a common law method of assessing punitive damages unconstitutional per se.18 Two years later, in TXO Production Corp. v. Alliance Resources Corp.,19 the Court declined to assign a speciﬁc level of scrutiny to punitive damages and rejected proposals to apply either heightened scrutiny or rational basis, holding that it would not adopt a bright-line mathematical formula to determine whether an award of punitive damages was constitutionally acceptable or unacceptable.20 The Court said a punitive damages award resulting from fair procedures was “entitled to a strong presumption of validity.”21 It also indicated that concerns about the reasonableness of punitive damages were valid22 and that potential harm to the plaintiff could be considered in determining whether punitive damages were excessive.23

2. Guideposts of Proportionality under BMW and State Farm BMW v. Gore 24 and State Farm v. Campbell 25 established the constitutional principles currently governing awards of punitive damages. Both cases express the Supreme Court’s approval of using punitive damages to further the state interests of retribution and deterrence.26 The Court recognized that states and their juries have a substantial degree of ﬂexibility with regard to the amount of punitive damages awards.27 That said, it cautioned that a punitive damages award may run contrary to the implicit notion of fairness embodied in the due process clause of the Fourteenth Amendment if it can “fairly be categorized as ‘grossly excessive’ in relation” to the state interests of deterrence and retribution.28

70

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

Two important principles control the constitutional validity of punitive damages. First, “a State may not impose economic sanctions on violators of its laws with the intent” to punish the defendant for its conduct outside the state’s jurisdiction, whether lawful29 or unlawful.30 Imposing economic sanctions for lawful outof-state conduct, according to the Court, would violate other states’ constitutional autonomy to promote values and shape conduct falling within their jurisdiction.31 The state’s authority to impose punitive damages for a defendant’s unlawful outof-state conduct without joining the out-of-state victims of such conduct was also considered questionable.32 Both lawful and unlawful out-of-state conduct, however, could be considered as evidence that bears on the reprehensibility of the defendant’s conduct insofar as it is related to the harm suffered by the plaintiff.33 Second, to meet the requirements of the due process clause, a punitive damages award must provide the defendant sufﬁcient notice of the severity of the penalty that may be imposed for the defendant’s conduct.34 To facilitate this inquiry, the Court established a test that consists of three guideposts of the reasonableness of a punitive damages award. Implicit in these guideposts is the notion that a punitive damages award must be proportional to the harm inﬂicted. a. Guidepost #1: Reprehensibility of Defendant’s Conduct The ﬁrst and most important guidepost deals with the degree of reprehensibility of the defendant’s conduct.35 The language of “reprehensibility” and repeated references to the defendant’s “culpability” and “blameworthy” acts36 suggest that the Court is imposing implicit limiting retributive caps on punitive damages awards. This interpretation is also supported by the Court’s list of factors to consider in determining the reprehensibility of the defendant’s conduct. Those include whether “the harm caused was physical as opposed to economic; the tortious conduct evinced an indifference to or a reckless disregard of the health or safety of others; the target of the conduct had ﬁnancial vulnerability; the conduct involved repeated actions or was an isolated incident; and the harm was the result of intentional malice, trickery, or deceit, or mere accident.”37 The Court treats punitive damages awards as suspect if none of these factors supports the plaintiff ’s case of punitive damages, but it has cautioned that the existence of any of them still might not be dispositive to the issue of whether a punitive damages award must be afﬁrmed.38 With regard to judicial determination of reprehensibility, the Court was particularly troubled by the problem of multiplicity of punitive damages awards. In State Farm, it criticized Utah’s reliance on the evidence of the defendant’s unrelated questionable conduct in determining the degree of reprehensibility of the defendant’s conduct that harmed the plaintiff.39 “A defendant’s dissimilar acts,

Explicit Proportionality Principles in Discrete Areas of American Jurisprudence

71

independent from the acts upon which liability was premised, may not serve as the basis for punitive damages.”40 A contrary practice, said the Court, would lead to the adjudication, for the purposes of imposing punitive damages, of unrelated, hypothetical third-party claims and eventually burden the defendant with multiple punitive awards for the same conduct.41 The same concerns are present in the use of recidivism as an aggravating factor, so the deﬁnition of recidivism is limited solely to replication of prior transgressions.42 The present and past transgressions must be sufﬁciently related or similar to give rise to the charge of recidivism.43 Wholly unrelated past conduct may not be used to supply the repetition element of recidivism.44 The Court’s argument regarding multiple punitive awards is somewhat arbitrary, however, because it condemns only the use of the defendant’s unrelated conduct in the calculation of punitive damages.45 The Court fails to acknowledge that evidence of the defendant’s similar or related conduct harming others, if admitted, might create no less a possibility of multiple punitive damages than the evidence of its unrelated conduct. The threat of multiple punitive awards is inversely related to the ability of juries and courts to accurately attribute punitive damages to the plaintiff ’s harm.46 The task of correlating punitive damages to the plaintiff ’s harm is substantially difﬁcult regardless of the relation that conduct has to the plaintiff ’s harm. Legal scholars have proposed a variety of solutions to the problem of multiplicity of punitive damages awards, including the societal damages approach to punitive damages47 and bifurcated class-action punitive damages trials.48 Both have signiﬁcant drawbacks. The difﬁculties with correlating punitive damages to a speciﬁc harm are not alleviated in a class action, where juries and courts face the challenge of attributing punitive damages to the harm suffered by a class.49 The theory of societal harm suggests that a portion of punitive damages represents and should cover two types of compensatory societal damages—speciﬁc harms, which include absent plaintiffs with cognizable tort claims and “quasi plaintiffs,” whose harm caused by the defendant’s conduct is not yet recognized as cognizable under any existing damage theory;50 and diffuse harms, which consist of any structural harm inﬂicted on society by the defendant’s conduct.51 One point of criticism of allowing absent plaintiffs to participate in the distribution of punitive damages as compensation for their actual harm may be that the defendant’s due process protection against arbitrary takings of property may be implicated without adequate adjudication of absent plaintiffs’ claims in a direct individual or class action trial. With regard to quasi plaintiffs, it would be more prudent to provide this category of potential claimants with compensation through a less arbitrary process of direct judicial recognition of certain new physical or psychological harms. Admittedly, judicial acceptance of new types of

72

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

compensatory damages is not always aligned with the emerging empirical notions of harm, though this fact alone cannot provide sufﬁcient basis for avoiding the rigors of judicial debate that usually attends the expansion of the theory of compensatory damages.52 Compensation of diffuse harms through punitive damages is fraught with even bigger problems. It would permit a state to avoid the constraints of the excessive ﬁnes clause by allowing an individual plaintiff to proceed on behalf of the state rather than having to prosecute the defendant’s wrongful conduct directly. More important, contrary to the controversial nature of punitive damages that usually militates in favor of restricting their use, the proposition to compensate diffuse harms through punitive damages would unduly expand their use by adding to the existing traditional purposes of punitive damages in American jurisprudence the goal of compensation of societal harm. A better solution to the problem of multiplicity of punitive damages awards, at least concerning the difﬁculties that juries and courts experience in accurately attributing punitive damages to the plaintiff ’s harm, exists in the form of split-recovery statutes. Under a split-recovery statute, a state allows the court to reallocate a portion of punitive damages back to the state.53 Properly drafted,54 a split-recovery statute would reallocate a portion of a punitive damages award, erroneously attributed to the plaintiff ’s harm, to societal use in the areas that suffered from the defendant’s conduct.55 b. Guidepost #2: Proportionality to Actual or Potential Harm Because punitive damages are paid to the plaintiff, the Court in State Farm and BMW fashioned the second guidepost of reasonableness, or proportionality, to demand a certain proportional correlation between a punitive damages award and the harm inﬂicted on the plaintiff.56 The Court seemingly accepted the principle stated in TXO that there must be a reasonable relationship between a punitive damages award and the potential, as well as actual, harm inﬂicted on the plaintiff.57 Despite the acceptance of potential harm as an allowable benchmark for the constitutional evaluation of punitive awards, both BMW and State Farm proceeded on the basis of actual harm, thereby limiting the importance of the inquiry based on potential harm to TXO-like situations. The focus on actual or potential harm suggests that the second guidepost reﬂects implicit ends-beneﬁts proportionality principles. In TXO, the potential harm from the defendant’s conduct was sufﬁciently cognizable to enter the punitive ratio calculus mainly because the defendant’s conduct set in motion a chain of events that, unless stopped, would continue causing the plaintiff harm without any additional afﬁrmative action by the defendant.58

Explicit Proportionality Principles in Discrete Areas of American Jurisprudence

73

Embarking on its fraudulent scheme, the defendant in TXO did not plan to get caught, and, as a result, the total amount of harm to the plaintiff and gain to the defendant was part of the defendant’s wrongful intent, for which the defendant had to be punished.59 The situation was different in State Farm and BMW, where the extent of damage to the plaintiff from the defendant’s conduct was effectively exhausted before the commencement of the suit.60 On the matter of an actual, constitutionally allowable ratio, the Court has given scant guidance. It has consistently refused to impose rigid ratio benchmarks,61 concluding simply that, “in practice, few awards exceeding a single-digit ratio between punitive and compensatory damages, to a signiﬁcant degree, will satisfy due process.”62 The Court has given no justiﬁable reason for treating singledigit ratios as more constitutionally defensible than larger ratios,63 but in State Farm it did express one caveat: Ratios higher than a single-digit may be upheld where especially reprehensible conduct results in small actual damages.64 The Court rejected a multiplier formula, under which the total amount of punitive damages would be calculated based on the difﬁculty of detecting and quantifying the plaintiff ’s harm caused by the defendant’s conduct.65 It also held that the defendant’s wealth alone could not justify a large punitive damages award.66 Finally, if it is likely that the harm suffered by the plaintiff could be covered by compensatory damages and punished by punitive damages at the same time, a lesser ratio would be appropriate.67 c. Guidepost #3: Necessity to Achieve Adequate Deterrence The third guidepost tests the necessity of a punitive damages award by comparing it to the existing legislative sanctions for comparable conduct.68 The Court observed that the severity of these legislative sanctions represents what the state expected would be the size of a civil penalty needed to deter the conduct at issue.69 To comply with due process, a remedy must be necessary and superior to less drastic alternatives. As the Court stated in BMW, “[t]he sanction imposed in this case cannot be justiﬁed on the ground that it was necessary to deter future misconduct without considering whether less drastic remedies could be expected to achieve that goal.”70 In BMW there was no history of statutory noncompliance to test the effectiveness of the existing statutory remedies for comparable conduct, which, in the Court’s opinion, made it unreasonable to assume that the public goals of retribution and deterrence could not be achieved with a less intrusive remedy than the punitive damages under consideration.71 The State Farm Court added that lower courts should avoid using criminal penalties for the calculation of punitive damages.72 Admitting that the existence of a criminal penalty reﬂects the state’s assessment of the social disutility of the

74

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

defendant’s action, the Court cautioned that punitive damages should not take the place of criminal penalties without the heightened protection of the criminal process.73 In sum, said the Court, “the remote possibility of a criminal sanction does not automatically sustain a punitive damages award.”74 State Farm and BMW are among the ﬁrst few Supreme Court decisions that apply proportionality principles to state socioeconomic regulation. Interestingly, despite the fact that proportionality was the underlying principle of the standard of review newly established in BMW, that case omitted the word “proportionality” from the standard’s description. It took the Court seven years to ﬁnally recognize in State Farm that the test in BMW embraces the principle of proportionality. “[C]ourts must ensure that the measure of punishment is both reasonable and proportionate to the amount of harm to the plaintiff and to the general damages recovered.”75

B. THE ROUGH PROPORTIONALITY OF LANDUSE PERMIT CONDITIONS In following its concern over discretionary, ad hoc76 government interference into the autonomy of entities and individuals, the Supreme Court adopted the doctrine of proportionality in a narrow class of cases to provide protection for private property from unconstitutional takings. In particular, the Court in Dolan v. City of Tigard 77 instituted a requirement of “rough proportionality” to measure the reasonableness of the relationship between the severity of individualized conditions imposed by the government on land-use permits and the impact of a proposed land development. The inquiry was designed to supplement the “essential nexus” test developed by the Court in Nollan v. California Coastal Commission78 to ensure that a permit condition is substantially related to the public burden that a proposed land-use development imposes. Nollan inquired into the existence of a ﬁt between a permit condition and a projected development’s impact, while Dolan examined the required tightness of that ﬁt. The two inquiries became the prongs of a test employed to assess the constitutional validity of governmental land-use permit conditions.79 The test recognizes the important role of government exactions in land-use regulation and employs the traditional constituent elements of the German doctrine of proportionality—suitability, necessity (alternative-means proportionality), and proportionality in the narrower sense (ends-beneﬁts proportionality)80—to screen constitutionally excessive land-use permit conditions. The application of the Nollan-Dolan test has not been limited explicitly to possessory81 exactions.82 Yet, the Supreme Court has rejected the test’s use in cases involving legislative land-use restrictions83 or where owners are merely denied land-use permits.84

Explicit Proportionality Principles in Discrete Areas of American Jurisprudence

75

As an initial step in the constitutional protection of private property from excessive land-use permit conditions, Nollan established the requirement of essential nexus between land-use permit conditions and projected development impacts.85 In Nollan, the Court dealt with a condition the California Coastal Commission had imposed on its approval of a rebuilding permit requested by the Nollans.86 The commission held that the new house the Nollans planned to build “would increase blockage of the view of the ocean, thus contributing to the development of ‘a wall of residential structures’ that would prevent the public ‘psychologically . . . from realizing a stretch of coastline exists nearby that they have every right to visit.’ ”87 Thus, the commission required that the Nollans dedicate an easement across their property to provide access to public beaches.88 The Supreme Court agreed that states may impose permit conditions that serve the same purpose that a denial of a permit would serve.89 The Court opined that a permit condition in Nollan would be constitutional if it were directed, as a height or width limitation on a structure would be, at the protection of the public’s ability to view the beach.90 Along the same lines, the state would be permitted to condition the land-use permit on the Nollans’ providing a viewing spot for the public on their property.91 Despite the fact that absent attachment to a land-use permit, the latter alternative would have constituted a taking, according to the Court, the commission would be justiﬁed in using its police power in this manner as an alternative to denial of a development permit, provided, of course, that such concession of property rights by the owner served the same purpose as the denial of the development permit would serve.92 The commission in Nollan, however, did not utilize any of these permissible methods of conditioning a land-use permit because dedication of an easement for public passage through the Nollans’ property served the purpose of maintaining public access to public beaches, not the objective of preserving the public’s view of the beach from the street, which would be served by denial of development.93 The Court held that, “unless the permit condition serves the same governmental purpose as the development ban, the building restriction is not a valid regulation of land use but an ‘out-and-out plan of extortion.’ ”94 Because the condition imposed by the commission served a different purpose, the Court held that the condition constituted an unconstitutional taking without compensation.95 In Dolan v. City of Tigard,96 the Court added to the requirement of essential nexus the demand for proportionality between a governmental exaction imposed as a condition to a permit and the projected development impact. The City of Tigard Planning Commission required that Mrs. Dolan “dedicate the portion of her properly lying within the 100-year ﬂoodplain for improvement of a storm drainage system along [the adjacent creek] and that she dedicate an additional 15-foot strip of land adjacent to the ﬂoodplain as a pedestrian/bicycle pathway.”97

76

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

The commission justiﬁed the imposed conditions by the need to prevent ﬂooding along the creek and to reduce additional trafﬁc congestion created in the central business district by the proposed development.98 Quoting Agins v. City of Tiburon,99 the Court reinforced the notion that “[a] land use regulation does not effect a taking if it ‘substantially advance[s] legitimate state interests’ and does not ‘den[y] an owner economically viable use of his land.’ ”100 It then observed two important distinctions of the case at issue from the sort of land-use regulations examined in Agins.101 First, said the Court, the regulations described in Agins represented legislative zoning determinations, while the land-use decision here was an “adjudicative decision” imposing an individualized condition on an individual parcel of land.102 Second, the limitation here did not merely restrict the use of land by the owner as in Agins but also required that the owner completely give up portions of her property in favor of the city.103 Under these circumstances, the Court noted, a person cannot be compelled to give up her constitutional right to receive compensation for condemned property in return for a discretionary governmental beneﬁt unrelated to the property.104 The Dolan Court had no problem ﬁnding an essential nexus between the permit conditions at issue and the projected impact of the proposed development of the property. It said that sufﬁcient nexus existed between preventing ﬂooding and not developing in the ﬂoodplain since the proposed expansion of the premises on the property would increase the amount of storm water runoff.105 Similarly, the Court found it reasonable to reduce trafﬁc congestion created as a result of the proposed development by building new pedestrian/bicycle paths as additional means of access to the city’s business district.106 Under Nollan, the inquiry into the constitutional validity of these permit conditions would end here. The Court, however, went on to add an additional prong to its analysis—whether the degree of government exactions reasonably related to the severity of the projected impact of the proposed development.107 In other words, the court was to determine whether the public beneﬁt and the property owner’s detriment from the imposed condition were roughly proportional to the harm from the proposed land use. To establish a meaningful standard, the Court surveyed a number of applicable state court practices in this area.108 It rejected the rational basis standard109 and the test of direct proportionality,110 reasoning that both of these standards failed to reﬂect adequately the balance of competing constitutional interests in this type of case. The Court concluded that the test of rough proportionality best corresponded to the needs of constitutional review relative to land-use permit conditions.111 It said that the test required no mathematical calculation “but that the city must make some sort of individualized determination that the required dedication is related both in nature and extent to the impact of the proposed development.”112

Explicit Proportionality Principles in Discrete Areas of American Jurisprudence

77

A detailed review of the Court’s examination of the permit condition in question in Dolan is necessary for a better understanding of the thrust of the Court’s “rough proportionality” test. The Court could ﬁnd no reasonable relation between dedication of an easement lying within the ﬂoodplain and prevention of ﬂooding.113 In the Court’s view, the same goal could have been achieved by the extant zoning requirement that the owner refrain from building within the established ﬂoodplain.114 In other words, the complete abridgment of Mrs. Dolan’s right to exclude others from her property was excessive and unnecessary for the attainment of the municipal goal of ﬂood prevention.115 Regarding the pedestrian/bicycle path, the Court opined that the city failed to show that the increased number of vehicle and bicycle trips caused by the proposed development reasonably related to the requirement that Mrs. Dolan dedicate a portion of her property as a public easement for a pedestrian/bicycle pathway.116 The Court emphasized that the city merely provided evidence that the contemplated pedestrian/bicycle pathway could reduce some of the additional trafﬁc created by the proposed development instead of offering proof that the path would or was likely to do so.117 Dolan’s rough proportionality test bears certain resemblance to the proportionality review of governmental interference with social and economic individual rights in foreign jurisdictions discussed earlier. The intensity of constitutional inquiry introduced by the Court in relation to land-use permit conditions in the United States reﬂects the position of the protected constitutional interests in the established constitutional hierarchy.118 The Court shied away from adopting the requirement of strict proportionality, viewing the need for government regulation of land use sufﬁciently important to allow for a certain ﬂexibility of action.119 On the other hand, the Court realized that the intensity of government intrusion involving land-use permit conditions warrants the placement of the burden of showing rough proportionality on the government.120 According to Nollan, this is because often the conditions that require the permanent dedication of property to public use “would have to be considered a taking if [they] were not attached to a development permit.”121 In sum, owners’ concessions of property in exchange for land development permits do not constitute a taking per se precisely because they are demanded in exchange for a development permit the government would be authorized to deny.122 Thus, the owner is vested with the choice whether to forego the contemplated development or make a possessory property concession. This aspect saves uncompensated land-use permit exactions from per se unconstitutionality, but it does not entirely remove the concern that the government will use its leverage, which it possesses by virtue of its being the issuer of land-use permits, to demand excessive exactions. Thus, an inquiry more searching than the rational

78

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

basis standard is required to protect individual property rights from excessive land-use permit conditions.123 Like its counterparts abroad, the inquiry of proportionality contemplated under the aegis of Dolan’s rough proportionality test includes the assessment of the imposed condition’s suitability, necessity, and proportionality in the narrower sense. Suitability of a land-use permit condition is assessed under Nollan’s essential nexus test. Like the inquiry of suitability, the essential nexus test requires that a permit condition be designed to redress the projected harm of the proposed property development.124 Absent such meaningful connection, a permit condition will be invalidated.125 The requirements of necessity and proportionality were conﬂated in Dolan’s analysis of the permit condition. The Court criticized the city for not choosing a less restrictive and more proportional exaction to offer the owner in exchange for a land-use permit.126 For instance, granting an easement over a strip of land to create a public greenway was neither necessary nor proportional to the reduction of the projected increase of the amount of storm water runoff to the adjacent creek created by the contemplated expansion of retail premises and parking lots.127 The Court concluded that the same objectives were achievable through the existing restrictions on construction within the ﬂoodplain area and that, as a result, dedication of a strip of land within the ﬂoodplain area was excessive in relation to the perceived threat of increased ﬂooding caused by the proposed development.128 This position was further reinforced by the city’s concession of the ancillary nature of the recreational easement to “the city’s chief purpose in controlling ﬂood hazards.”129 The Court’s necessity and proportionality analysis was less cogent relative to the city’s second objective that the permit condition at issue was intended to serve. The necessity and proportionality of the demanded dedication of an easement to the city’s objective of reducing trafﬁc congestion created by the proposed expansion of business premises, according to the Court, hinged on individualized evidence showing that dedication of an easement would—not merely could or was likely to—reduce the increased trafﬁc congestion.130 The Court seems to have mistaken the requirement of “rough proportionality” for that of “essential nexus.” In effect, it used the central inquiry of the essential nexus test—whether the permit condition at issue was suitable to attain reduction of trafﬁc congestion created by the proposed development—to invalidate the said condition under the requirement of rough proportionality.131 In doing so, the Court diminished the value of rough proportionality and its constituent elements of necessity and proportionality in the narrower sense. Dolan failed to deﬁne the scope of the “rough proportionality” test, thereby leaving open the questions of whether it applied to legislative regulation of

Explicit Proportionality Principles in Discrete Areas of American Jurisprudence

79

zoning132 and/or nonpossessory permit conditions,133 like impact fees or fees in lieu of dedication. These issues were subsequently raised in City of Monterey v. Del Monte Dunes at Monterey, Ltd.134 The plaintiff contested the city government’s zoning regulations, which foreclosed the plaintiff from developing its land. The Court attempted to dispel any ambiguity that existed regarding whether the requirement of rough proportionality applied to general land-use regulation, holding that a meaningful proportionality analysis of takings is necessary only in “the special context of exactions—land-use decisions conditioning approval of development on the dedication of property to public use.”135 Having acknowledged that “in a general sense concerns for proportionality animate the Takings Clause,”136 the Court nonetheless maintained that in applying the test of rough proportionality the Court had not ventured beyond permit-incentivized land dedications.137 It concluded that mere denials of development did not call for the heightened protection of rough proportionality because they derived their authority from legislative land-use regulation and did not involve the permit-for-land-dedication scenario present in Dolan and Nollan.138 Several important conclusions ﬂow from City of Monterey. The Court recognized that proportionality plays a role in the relationship between the government and property owners. The Court’s searching proportionality review has been limited to a speciﬁc group of cases in which the Court detected a threat to individual property rights from uncompensated takings disguised as permit conditions.139 Despite the possible interpretation of the Court’s focus in City of Monterey on possessory exactions140 as an exclusion of nonpossessory exactions from the reach of the test of rough proportionality, there is sufﬁcient jurisprudential evidence to the contrary. The primary weakness of this interpretation is that the Court’s language in City of Monterey limiting the use of rough proportionality to possessory exactions was dictum with regard to nonpossessory exactions because the case did not deal with a nonpossessory exaction. Moreover, a subsequent reversal and remand by the Supreme Court to consider “in light of Dolan” a California decision that a fee imposed on a developer to mitigate the loss of community recreational facilities on the developer’s property was valid141 further supports the view that the Court did not intend to exclude nonpossessory exactions from the reach of the Dolan test. On remand, the Supreme Court of California held that the rough proportionality test established in Dolan applied to nonpossessory (i.e., monetary, exactions).142 The Supreme Court denied a petition for a writ of certiorari,143 perhaps indicating that the Nollan-Dolan rough proportionality inquiry is applicable to nonpossessory exactions. The question whether the Nollan-Dolan rough proportionality test was applicable to legislative land-use enactments was resolved ﬁnally by the 2005 Supreme Court decision in Lingle v. Chevron U.S.A., Inc.144 The Court determined that

80

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

neither the “substantially advances” test developed in Agins v. City of Tiburon145 nor similar tests related to due process standards of review were applicable in the context of regulatory takings.146 The Court explained that the takings clause “does not prohibit the taking of private property, but instead places a condition on the exercise of that power.”147 The proper inquiry, therefore, must focus not on the validity of the government action but on the economic burden imposed on the property to determine whether a taking of property has occurred by reason of that property’s having been deprived of all of its economic value as a result of government regulation.148 The validity of the government action ordering a taking is a separate inquiry that applies the deferential rational basis test used in all economic and social regulation.149 Despite its general attack on any heightened judicial scrutiny of takings, the Chevron decision did not disturb the application of the rough proportionality test in land-use permit exactions.150 A land-use permit exaction—a government demand of land or money in return for a permit that the government could deny—constitutes a denial of a constitutionally mandated compensation for taken property. As such, the Court reasoned, the rough proportionality standard was appropriate to test the validity of government intrusion into the enjoyment of that constitutional right;151 however, it was wholly irrelevant in the context of regulatory takings, as the issue there was whether there was a taking, not whether a constitutional right to receive compensation for condemned property was denied.152 It is unfortunate that the use of proportionality in land-use regulation was limited to nonlegislative discretionary adjudicative exactions. This leaves landowners virtually unprotected from government land-use regulation because the deferential rational basis test153 provides no adequate, thorough balancing of the public interest being advanced by a land-use regulation with the competing individual property rights. Arguably, landowners should be protected from excessive government intrusion into their economic autonomy irrespective of whether the intruder is a legislature or an executive body taking the land in an adjudicative nonlegislative manner.154

C. PROPORTIONALITY OF ATTORNEY’S FEES AWARDS IN CIVIL RIGHTS CASES Punitive damages and attorney’s fees play a similar public policy role. The proportionality of attorney’s fees has been considered in the context of reasonable attorney’s fees awards in civil rights litigation under 42 U.S.C. § 1988.155 Despite the fact than an award of reasonable attorney’s fees to a successful plaintiff in § 1988 actions serves the same goal of deterrence as punitive damages156—to which the Court has

Explicit Proportionality Principles in Discrete Areas of American Jurisprudence

81

applied the requirement of proportionality to screen out unconstitutionally excessive punitive damages awards157—the Court has refrained from imposing a requirement of proportionality on attorney’s fees awards under § 1988 on the ground that it would signiﬁcantly reduce the incentives plaintiffs have to litigate this type of case.158 As determined by the Court, proportionality can be used only to test the validity of attorney’s fees awards in civil rights cases under § 1988 if it is established that the primary purpose for the civil rights litigation was recovery of damages.159 As a general matter of reasonableness, the Court held in Hensley v. Eckerhart160 that a plaintiff ’s success is an important factor in determining the proper amount of an award of attorney’s fees under § 1988.161 Courts should attempt to detect and exclude excessive and redundant fees.162 In some cases, for example, counsel may bring distinct actions against the same or different individuals. If counsel prevails under one cause of action and fails under another, the attorney’s fees for the litigation of a distinct cause of action on which the attorney failed to prevail should not be taken into consideration when determining the award of attorney’s fees to the plaintiff.163 By contrast, where counsel obtained “substantial relief ” for the client, the award of attorney’s fees should not be reduced merely because counsel did not succeed on all theories or claims advanced.164 However, in a case of limited success, the court should award reasonable attorney’s fees relative to the degree of success in the matter.165 Hensley’s general analysis of reasonableness of attorney’s fees in § 1988 actions failed to answer whether there should be any overriding proportional relationship between compensatory damages and attorney’s fees, mainly because the matter of the allowable amount of attorney’s fees was not raised on the theory of proportionality.166 The Court nonetheless effectively promoted the notion of proportionality by elevating the plaintiff ’s success to the level of becoming a crucial determinant of the reasonableness of attorney’s fees.167 It seems that successful claims provided the Court with an assuring assessment of harm suffered by the plaintiff that it could use as an objective benchmark of reasonable attorney’s fees. As a logical extension of this reasoning—and not unlike punitive damages cases that use compensatory damages as a proxy for the reprehensibility of the defendant’s conduct168—the Court could effectively use compensatory damages as a rough equivalent of plaintiff ’s success to provide a benchmark for assessing the reasonableness of attorney’s fees. The Court rejected this easily administrable test of reasonableness of attorney’s fees for an important reason. In City of Riverside v. Rivera,169 the plurality acknowledged that the amount of compensatory damages was pertinent to the issue of attorney’s fees awards but denied giving it a decisive role in determining the reasonableness of those awards. The plurality held that the size of a compensatory award in a case brought under § 1988 was merely one of the factors170 to be

82

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

considered under the prevailing totality of circumstances analysis.171 According to the Court, attorney’s fees awards should not be pegged to the amount of compensatory damages “[b]ecause damages awards do not reﬂect fully the public beneﬁt advanced by civil rights cases.”172 Moreover, the Rivera plurality expressly rejected the proposition that attorney’s fee awards under § 1988 must “necessarily be proportionate to the amount of damages a civil rights plaintiff actually recovers”173 because, according to the plurality, such a requirement would eliminate virtually all of the incentives that full recovery of attorney’s fees creates for private plaintiffs to litigate civil rights violations.174 The plurality underscored the narrow application of this decision to § 1988 attorney’s fees cases. In particular, it stated that the adopted rationale for rejecting proportionality as a measure of reasonableness of attorney’s fees in civil rights cases did not apply to most private law cases, where damages awards, unlike the same in civil rights cases, reﬂect the harm to the plaintiff and the public beneﬁt arising out of private law litigation.175 Thus, Rivera does not preclude the use of proportionality in private law cases—where, by law or contract, courts may award attorney’s fees to the plaintiff—to test the reasonableness of attorney’s fees in relation to the plaintiff ’s success, measured, inter alia, by the amount of the plaintiff ’s compensatory damages award.176 Rivera is most interesting for Justice Powell’s concurrence, which shifted the result in favor of the plurality and full attorney’s fees. He agreed with the plurality that § 1988 attorney’s fees do not have to be proportional to damages recovered in a civil rights action.177 Yet, he urged that the use of proportionality of attorney’s fees as a measure of reasonableness hinges on the plaintiff ’s purpose for engaging in civil rights litigation.178 If the primary purpose of the civil rights litigation is recovery of damages179 and no signiﬁcant public interest is served by vindicating the violated constitutional rights, “a district court, in ﬁxing fees, is obligated to give primary consideration to the amount of damages awarded as compared to the amount sought.”180 This formulation ﬁts within the traditional understanding of the ends-beneﬁts analysis of proportionality. To the contrary, if vindicating a constitutional right, irrespective of the novelty of the constitutional ruling, may substantially serve a public interest, it should be considered in addition to the recovered damages in the calculation of attorney’s fees.181 Justice Powell’s position was subsequently adopted in the majority opinion in Farrar v. Hobby.182 “Having considered the amount and nature of damages awarded, [a district] court may lawfully award low fees or no fees without reciting the 12 factors [from Hensley] bearing on reasonableness.”183 In the case sub judice, where the plaintiffs requested a large damage amount but recovered only nominal compensatory damages, the Court decided that the measure of reasonableness of attorney’s fees had to focus on the extent to which the plaintiffs were

Explicit Proportionality Principles in Discrete Areas of American Jurisprudence

83

able to prove actual injury necessary for the recovery of compensatory damages.184 This was so because the primary purpose of the litigation, in light of the large amount of requested compensatory damages, was recovery of damages.185 Rivera was never intended to allow windfalls to plaintiffs’ attorneys, the Court reasoned.186 Lower courts have subsequently interpreted Farrar as establishing what amounts to an ends-beneﬁts proportionality principle in awarding attorney’s fees in civil rights cases, and some of these courts have explicitly mentioned proportionality.187

D. USE OF PROPORTIONALITY IN ASSESSING THE VALIDITY OF CONGRESSIONAL ABROGATION OF STATE SOVEREIGNTY UNDER THE FOURTEENTH AMENDMENT ENFORCEMENT CLAUSE Proportionality, as argued here, is key to preventing excessive government intrusion into individual autonomy and also to striking a meaningful balance between the federal government’s limited powers and the states’ police power. One point of tension between the federal and state powers, in which proportionality principles are implicitly employed under the guise of intermediate scrutiny, is determining whether nondiscriminatory state laws violate the dormant commerce clause (discussed earlier in this book).188 This section explores the application of proportionality in determining the constitutionality of a congressional enforcement action imposed on state governments under the authority of Section 5 of the Fourteenth Amendment. 189 The Court has indicated in several of its decisions that the Constitution requires such enforcement actions to be “congruent and proportional” to the harm they are intended to redress.190 The primary test was established in City of Boerne v. Flores.191 It resulted from the Court’s concern that unchecked congressional enforcement power could lead to unjustiﬁable abrogation of the states’ sovereign immunity as recognized in the Eleventh Amendment.192 The Supreme Court ruled that the Constitution permits Congress to abrogate state sovereign immunity under Section 5 of the Fourteenth Amendment only when there is an identiﬁed pattern and history of constitutional violations by the states and if Congress uses means that are congruent and proportional to those violations to remedy the unconstitutional conduct.193 Otherwise, the Court could fairly interpret the congressional action as an “attempt [to effect] a substantive change in constitutional protections, proscribing state conduct that the Fourteenth Amendment itself does not prohibit.”194 Such a congressional exercise of constitutional interpretive power is not allowed under Section 5 of the Fourteenth Amendment.195

84

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

In deciding these matters, the Court begins its inquiry by making certain that Congress has expressed its intent to abrogate Eleventh Amendment immunity. If Congress has done so, the Court then considers the validity of such abrogation by assessing the implicated constitutional right, documented state constitutional violations, and the remedy provided by the abrogation.196 The nature of the constitutional right Congress intends to protect is crucial for determining whether the state has violated the right. The Court is more deferential to the state when congressional action intends to protect a right that is normally subject to the rational basis standard of judicial review.197 By contrast, it will more readily ﬁnd violations of constitutional rights by state conduct deserving of congressional reaction if the rights are protected by higher scrutiny.198 Thus, using the level of scrutiny applicable to the constitutional right Congress intended to protect, the Court reviews the congressional ﬁndings to ascertain whether the alleged state conduct rises to the level of a constitutional violation. If the proof provided by Congress is sufﬁcient, the Court will ﬁnd that Congress is entitled to enact remedial legislation.199 The ﬁnal step in the analysis is to determine whether the means used by Congress to remedy a constitutional violation are congruent and proportional to that violation. The Court permits prophylactic legislation with a degree of overbreadth, prohibiting some constitutional conduct, but the scope of the remedy must not greatly exceed the identiﬁed violations.200 This is an example of means-proportionality analysis.201 However, the Court may have been as concerned with protecting its monopoly on constitutional interpretation from congressional encroachment as it was with protecting the states from excessively broad remedies. Subsequent Supreme Court decisions conﬁrmed the Court’s adherence to the Boerne principles. Florida Prepaid Postsecondary Education Expense Board v. College Savings Bank202 held that the Boerne test was the primary standard for scrutinizing Section 5 legislation. Following Florida Prepaid by a year, Kimel v. Florida Board of Regents203 conﬁrmed that it was the judicial branch’s role to determine what constitutes a substantive constitutional violation and that Congress’s power under Section 5 of the Fourteenth Amendment must necessarily be of a remedial character. It also held that the level of scrutiny applicable to the constitutional right Congress intended to protect controls the weight of the burden that Congress can impose on the states pursuant to its remedial powers under Section 5 of the Fourteenth Amendment.204 The question of ﬁt between the remedial action and the alleged constitutional violation had long evaded coherent discussion. Several opinions now shed at least limited light on the issue. United States v. Morrison205 required that the congruence and proportionality of a congressional remedial action

Explicit Proportionality Principles in Discrete Areas of American Jurisprudence

85

depend on the measure’s effectiveness in changing state conduct. Board of Trustees v. Garrett,206 on the other hand, declared Title I of the Americans with Disabilities Act (ADA) incongruent and disproportional to the desired end because the remedy of rights granted by Congress in the ADA to employees with disabilities far exceeded the constitutional guarantees of the Fourteenth Amendment. It also emphasized that conduct by local government and the private sector was irrelevant to the inquiry whether a state had been violating the Constitution.207 Although the Supreme Court’s methodology in this area of law represents only a recent foray into proportionality, the principle’s adoption and application demonstrate how proportionality may be used to protect constitutional interests while still respecting the division of labor between state and federal levels of government and the sovereign interests inherent in our federal system. Proportionality allows courts to recognize the importance of the interests that Congress is attempting to protect from state intrusion, while at the same time giving appropriate consideration to the states’ sovereign immunity. As the Supreme Court continues to ﬂesh out this important area of law, it would serve the Court well to consciously consider the extent to which proportionality may help ﬁnd an appropriate balance between individual and state interests.208

E. PROPORTIONALITY AS A TOOL TO DETECT VOTING RIGHTS AND EQUAL PROTECTION VIOLATIONS The earlier sections of this part have focused on the implicit or explicit use of proportionality as a limiting principle on government discretion in regulating personal autonomy. This role gives proportionality the feel of an instrumental principle designated to facilitate the enforcement of citizens’ due process and equal protection rights under the U.S. Constitution. This section discusses another use for proportionality that clothes the principle with a constitutional signiﬁcance different from that in the areas described in earlier sections and chapters. Speciﬁcally, the Supreme Court has accepted proportionality in some areas of its equal protection and voting rights jurisprudence as one of the factors that inform the Court’s decision in determining whether there has been a violation of a constitutional norm; disproportionality plays an evidentiary role. The two most widely recognized examples are public school desegregation and vote dilution. However, another aspect of voting rights, the one-person-one-vote rule, involves proportionality as a substantive right rather than an evidentiary tool; in addition, the standards used to enforce that rule incorporate several of the proportionality concepts we have identiﬁed.

86

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

1. Proportionality in Public School Desegregation In a 1968 decision, Green v. County School Board of New Kent County,209 the Court— displeased with the slow pace of desegregation allowed by the relaxed requirement established in Brown v. Board of Education (Brown II),210 which required public schools to desegregate “with all deliberate speed”—created an afﬁrmative duty to integrate schools that were historically segregated. The freedom-of-choice plans deemed sufﬁcient under Brown II were no longer acceptable if they were ineffective in achieving a “racially nondiscriminatory school system.”211 The Court said, “[t]he time for mere ‘deliberate speed’ has run out.”212 The time had come for school boards to bear the higher burden of “com[ing] forward with a plan that promises realistically to work, and promises realistically to work now.”213 To ensure the school boards complied with this order, the Court assumed “jurisdiction until it is clear that state-imposed segregation has been completely removed.”214 The Court’s opinion in Green seems to suggest that the effectiveness of school desegregation plans in achieving integration would be judged by numbers. Numbers and correlations of numbers played a particularly important role in two of the categories identiﬁed by the Court as relevant to the assessment of the school districts’ compliance with the constitutional equal protection requirements: student assignments and teacher and principal assignments.215 Proportionality was a logical tool for the Court to apply in the examination of numbers and correlations of numbers in these two categories, given its implicit predisposition to a requirement for some degree of proportionality between the racial makeup of the total number of students and staff and the assignments to various schools.216 It was not until 1971, however, that the Court expressly empowered district courts in Swann v. Charlotte-Mecklenburg Board of Education217 to require racial proportionality, or racial balancing, as a remedy to previous segregation and as a tool to achieve integration. The Court was careful, however, to limit this decision with the caveat that the order’s proportionality requirement was not a substantive constitutional right218 but rather a “starting point in the process of shaping a remedy.”219 This suggests an instrumental approach to the principle’s application. The Court also limited the use of proportionality to schools that were intentionally segregated by the state in the past220 and disallowed its application to higher educational institutions.221 Proportionality was not limited to serving only a remedial role. According to Swann, it could also be used to detect equal protection violations in traditionally segregated school districts. The Court created a presumption that schools historically separated by race with a substantially disproportionate racial composition were in violation of their constitutional duty to create an integrated educational environment in public schools.222 If the school district presented a desegregation

Explicit Proportionality Principles in Discrete Areas of American Jurisprudence

87

plan under which some schools in a racially diverse district would continue to be attended predominantly by one race, the school district bore the burden to show that its disproportionate racial composition within the schools was not attributable to past discrimination.223 This burden required the school district to show that “any current imbalance is not traceable, in a proximate way, to the prior violation.”224 As time passes, however, the presumption of a constitutional violation in the presence of a racial imbalance may lose its force. The longer the time span between the initial action to achieve desegregation and the present, arguably, the less likely the current racial disproportionality in school attendance can be attributed to state conduct, absent proof of a school district’s intent to segregate.225 Indeed, demographic changes unrelated to state conduct—unsuccessfully presented as vestiges of public school segregation warranting remedial action from federal courts in Pasadena Board of Education v. Spangler 226—have been the major recent contributor to racial imbalance in public schools. Thus, if the school district demonstrates “a history of good faith compliance,” the causal link between a state’s conduct and the racial imbalance becomes more attenuated, and the district court could fairly “accept the school board’s representation that it has accepted the principle of racial equality and will not suffer intentional discrimination in the future.”227 Courts may not create a presumption of an equal protection violation from racial imbalance in higher education.228 The different approach is justiﬁed by the fact that students have a choice in which school to attend and cannot be forced to attend a certain institution.229 Thus, the presence of a racial imbalance at a higher educational institution is not sufﬁcient to shift the burden of proof to the state.230 Rather, the burden shifts when the state is shown to have continued policies “rooted in its prior, ofﬁcially segregated system that serve to maintain the racial identiﬁability of its universities.”231 When the burden thus shifts, the school must either dismantle the violating policies or show that it would be impossible to eliminate those policies without disadvantaging the school’s educational needs.232 The Court’s use of proportionality as a tool to detect constitutional violations with regard to race demonstrates the principle’s utility in protecting important constitutional interests. That the Court turned to proportionality to help enforce equal protection rights—which, given the historical underpinnings of the equal protection clause of the Fourteenth Amendment, subject classiﬁcations based on race to the strictest judicial scrutiny—demonstrates the principle’s ability to ﬂex and ﬁt different legal systems and standards. The variance in presumptions of unconstitutionality between public education and higher education also demonstrates that a ﬁnding of proportionality can be adapted to ﬁt the needs of different contexts, even within the same legal system.

88

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

2. Proportionality in Voting Rights Cases An examination of Supreme Court voting rights decisions reveals two situations in which the Court applies proportionality. First, proportionality is constitutionally required as a substantive right in the representation of individuals. Second, proportionality may be used as an evidentiary tool for detecting dilution of the voting strength of a racial class of voters in violation of Section 2 of the Voting Rights Act. Given that groups do not have a constitutional right to proportional representation, the latter use of proportionality is used as a rough baseline to determine whether group votes have been diluted. a. “One Person, One Vote”: Proportional Representation Among Voting Districts The meaning of proportionality in the representation of individuals derives from the Supreme Court’s interpretation of the constitutional command that representatives be chosen “by the People of the Several States” as requiring that “as nearly as practicable one man’s vote in a congressional election is to be worth as much as another’s.”233 To obtain this result, the Court established a constitutional requirement that congressional districts contain equal numbers of inhabitants.234 Based on the equal protection clause of the Fourteenth Amendment, the same requirement applies to state legislative districts.235 Compliance with this principle requires states to revise their districts with a reasonable frequency, at a minimum every ten years.236 It also requires that both houses of a bicameral state legislature be apportioned substantially on a population basis.237 The one-person-one-vote proportionality standard is strict for federal elections. The Constitution allows only the smallest deviation possible and only if it is necessary for the attainment of a legitimate state objective.238 A party challenging a population difference must prove that the “population differences among districts could have been reduced or eliminated altogether by a good-faith effort to draw districts of equal population.”239 If the challenger fails to meet this burden, the contested districting plan will be afﬁrmed.240 If the plaintiff can show that the contested population differences were not a product of the state’s good-faith effort to achieve equality, the state must prove that the differences were necessary to achieve a legitimate goal.241 As long as the justiﬁcations are nondiscriminatory, the court may approve of a number of goals put forward by the state, including achieving compact districts, following municipal lines, preserving the essence of previous districts, and “avoiding contests between incumbent Representatives.”242 To summarize, the population-based, substantive right to proportional representation is enforced with two of the proportionality principles this book examines. Deviations from proportional representation must be justiﬁed by a legitimate

Explicit Proportionality Principles in Discrete Areas of American Jurisprudence

89

state interest (a standard akin to the German suitability requirement), and such deviations must be necessary to achieve the asserted interests (a version of alternative-means proportionality analysis). b. Vote Dilution Despite statutory provisions indicating that no group or class is entitled to proportional representation,243 proportionality has also found its way into group voting rights as a factor that indicates an absence of vote dilution. The basic preconditions for a vote dilution claim were established in Thornburg v. Gingles,244 based on the statutory provisions of sections 2(a) and 2(b) of the Voting Rights Act (VRA).245 Section 2(a) guarantees that neither race nor color can be used as a “voting qualiﬁcation or prerequisite to voting.”246 Section 2(b) stipulates the following: A violation of [Section 2(a)] is established if, based on the totality of circumstances, it is shown that the political processes leading to nomination or election in the State or political subdivision are not equally open to participation by members of a class of citizens protected by subsection (a) of this section in that its members have less opportunity than other members of the electorate to participate in the political process and to elect representatives of their choice. The extent to which members of a protected class have been elected to ofﬁce in the State or political subdivision is one circumstance which may be considered: Provided, That nothing in this section establishes a right to have members of a protected class elected in numbers equal to their proportion in the population.247 In light of these provisions, the Gingles Court required an initial showing for a successful vote dilution claim to include numerocity and compactness of the minority group sufﬁcient to constitute a majority in a single-member district, political cohesion of the minority group, and white majority bloc voting in the contested district such that the minority group’s preferred candidate will usually be defeated.248 Once an initial showing is made, the absence or presence of vote dilution is determined on the basis of the totality of circumstances,249 including previous elections that resulted in a proportional representation of the minority group.250 Proportionality in electoral success is only one of the factors to be considered.251 Proportional representation of minority groups is not an unvarying indicator of the absence of vote dilution.252 There are other, more subtle ways, argued the Court, in which minority group voting strength could be diluted without affecting

90

PROPORTIONALITY IN AMERICAN CIVIL JURISPRUDENCE

proportionality.253 Despite this language, some scholars argue that a showing of proportional representation in previous elections would make the burden on the minority group to prove vote dilution a very heavy one.254 It is clear that tension exists between considering proportionality in previous electoral success as a baseline for vote dilution and the speciﬁc prohibition against requiring proportional representation in Section 2(b) of the VRA, as well as the constitutional rejection of race-conscious districting.255 Justice O’Connor very aptly described the essence of this tension in her Gingles concurrence: We know that Congress intended to allow vote dilution claims to be brought under § 2, but we also know that Congress did not intend to create a right to proportional representation for minority voters. There is an inherent tension between what Congress wished to do and what it wished to avoid, because any theory of vote dilution must necessarily rely to some extent on a measure of minority voting strength that makes some reference to the proportion between the minority group and the electorate at large.256

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

T

III

he chapters in this part examine the many ways in which implicit and explicit proportionality principles have been incorporated into American rules of criminal procedure, criminal liability, and punishment. The emphasis is on constitutionally required rules, but we also cite examples of proportionality principles in subconstitutional law to illustrate the breadth of support for these principles. The ﬁrst chapter explores examples of implicit ends-beneﬁts and/or alternative-means proportionality principles in criminal procedure rules. The Supreme Court’s Fourth Amendment standards deﬁning “unreasonable” searches and seizures employ a balancing test that incorporates ends and occasionally also means proportionality. Cases that interpret the Eighth Amendment’s excessive bail clause and subconstitutional pretrial release laws implicitly incorporate means proportionality. Ends-proportionality principles may be implicit in statutes and rules that make offense seriousness a factor when setting release conditions. In several cases the Supreme Court has implicitly invoked ends- and/or means-proportionality 91

92

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

principles to invalidate rules or practices that place a substantial burden on the exercise of constitutionally protected trial rights. When the government seeks to forcibly administer powerful medications to render defendants competent to stand trial or to make inmates easier to manage in jail or prison, the Supreme Court has imposed limitations that reﬂect both endsand means-proportionality principles. Implicit means-proportionality principles are applied by courts when deciding whether a civil or regulatory measure is sufﬁciently punitive to trigger the substantive due process ban on punishment without criminal procedure safeguards; however, a ﬁnding of disproportionality merely serves an evidentiary function by implying an intent to inﬂict punishment. Finally, ends- and means-proportionality analysis has sometimes been used to limit criminal procedure rights; in these cases, a ﬁnding of disproportionality favors the government, not the citizen. Numerous cases that require “standing,” permit impeachment use, or otherwise limit the scope of the Fourth Amendment and other constitutionally required exclusionary rules are based on a ﬁnding that the beneﬁts of more frequent exclusion of evidence are not worth the cost (ends proportionality) or that such exclusion is not needed to provide adequate deterrence (means proportionality). Ends proportionality is implicit in cases that deny Sixth Amendment rights to appointed counsel and jury trial in less serious cases; subconstitutional criminal procedure laws also often grant fewer procedural safeguards in such cases, apparently on the theory that the beneﬁts of such safeguards are not worth the costs. The next chapter examines implicit proportionality limits on the imposition of criminal liability. Various constitutional and subconstitutional rules, barring liability in the absence of “fair notice,” reﬂect an implicit limiting retributive rationale: Persons who lack such notice are not sufﬁciently culpable to justify the imposition of criminal sanctions and stigma. Retributive principles and means and/or ends proportionality may also underlie constitutional prohibitions on “status” crimes and the requirement of proof beyond reasonable doubt. In subconstitutional criminal law, retributive and other proportionality limits are implicit in rules that bar or discourage strict liability. “Voluntary act” requirements reﬂect limiting retributive principles. Self-defense and other afﬁrmative defenses of justiﬁcation implicitly incorporate both ends- and means-proportionality principles; excuse defenses primarily incorporate limiting retributive proportionality. Retributive and ends-proportionality principles are implicit in criminal statutes that scale crime severity according to degrees of offender culpability and social harm. The ﬁnal chapter in this part explores proportionality as a limitation on criminal and quasi-criminal punishments. Unlike the topics in the two previous chapters, these are areas in which courts, state constitutional provisions, and scholars often explicitly speak of “proportionality” limits, but such limits have

Proportionality in American Criminal Justice

93

usually not been clearly deﬁned. In cases that apply the Eighth Amendment’s cruel-and-unusual-punishment and excessive ﬁnes clauses to the death penalty, lengthy prison terms, and civil or criminal forfeitures of property, the Supreme Court has invoked a standard of “gross disproportionality” to the offense being punished or the misconduct leading to the forfeiture. Death penalties and forfeitures are clearly limited by retributive principles, but it is less clear whether the Court intends to also put means- and/or ends-proportionality limits on these sanctions. Its standards for evaluating severe prison terms are even less clear; the Court has seemed to reject any independent retributive limits on such sentences and has failed to provide itself or lower courts with much guidance about when and why a long prison term should be found constitutionally excessive. A different set of rules, also based on the Eighth Amendment but not closely tied to the Court’s sentencing cases, places some limits on harsh treatment of prisoners. The focus of these cases seems to be on unnecessary harshness, thus suggesting a form of means proportionality. This chapter also examines state constitutional sentencing provisions, which courts have sometimes used to grant additional protections not required by the Eighth Amendment. Many examples of implicit retributive, ends-, and meansproportionality principles can be found in the cases construing these provisions. The chapter ends with a survey of proportionality principles in model codes and scholarly writings on sentencing and in sentencing laws and jurisprudence in the United States and other countries. Scholars expressly recognize all three types of proportionality, and these principles are often explicit or implicit in model codes, sentencing laws, and sentencing decisions. When viewed separately, U.S. constitutional criminal procedure, criminal liability, and punishment rules show only halting, inconsistent, and often incoherent application of proportionality principles. But when these rules are viewed in the aggregate, along with the corroborating testimony of scholarly writings, model codes, and sentencing laws and decisions in the United States and abroad, it becomes clear that limiting retributive, ends-beneﬁts, and alternative-means proportionality principles all enjoy broad support. In exercising their judicial review functions, courts should not hesitate to invoke these fundamental principles of justice. Courts should also state clearly which principle or principles they are applying, and adapt the principles to the particular context.

This page intentionally left blank

5

PROCEDURE Implicit Proportionality Limits on Police Powers and Defendant Rights

this chapter examines the many examples of constitutional and subconstitutional criminal procedure rules that incorporate ends-beneﬁts and/or alternativemeans proportionality principles. The application of these principles is almost always implicit; courts rarely use the language of proportionality, and they do not separately analyze and clearly distinguish ends- and means-proportionality concepts. In each of the topic areas summarized here, we ﬁrst identify the implicit proportionality principles being applied in the Court’s decisions and then discuss how the policy analysis in these cases would be improved by their more explicit recognition and application. Part A discusses Fourth Amendment standards that deﬁne “unreasonable” searches and seizures. In many of its decisions the Supreme Court has implicitly incorporated ends-proportionality principles in a multifactor balancing test under which the importance of asserted law enforcement or other government interests is weighed against the nature and degree of the resulting intrusion into privacy, physical liberty, and property. Occasionally the Court’s balancing analysis has also implicitly applied means-proportionality principles and taken into account the availability of less intrusive ways of achieving the government’s asserted purposes. In a few cases the Court has used a simpler version of balancing that is keyed to offense severity and offender risk. Under this (still implicit) offense- and 95

96

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

offender-proportionality approach, the police have broader investigatory powers when they investigate more serious crimes; similarly, more serious intrusions into privacy, liberty, and/or property require a showing of more important government interests and thus can be used only to respond to serious offenses or apprehend dangerous suspects. Part B discusses proportionality limits on pretrial detention and release conditions. The Eighth Amendment’s excessive bail clause prohibits bail set at an amount higher than necessary to reasonably ensure the appearance of the accused at trial (alternative-means proportionality). Similarly, subconstitutional pretrial release and detention rules and statutes often deﬁne a range of increasingly restrictive release conditions and direct courts to choose the least restrictive option that will reasonably guarantee appearance and public safety. Constitutional and subconstitutional rules may also implicitly incorporate ends-proportionality principles by limiting bail in minor cases and requiring courts to consider offense seriousness as a factor in setting bail or other release conditions. Part C examines a line of cases in which the Supreme Court has invalidated rules or practices that placed excessive burdens on the defendant’s exercise of constitutionally protected criminal procedure rights. Sometimes these decisions have been based on the availability of less burdensome ways of achieving the state’s asserted interests—a means-proportionality argument. In other cases the Court has seemed to invoke ends proportionality—the state’s interests were not deemed to be of sufﬁcient weight to justify the substantial burden on important rights. In still other cases the basis for the decisions is unclear but seems to reﬂect either ends proportionality or both ends and means proportionality. Part D discusses constitutional limits on authorities’ efforts to forcibly administer powerful medications in order to render an inmate easier to manage in jail or prison or to make a defendant competent to stand trial. The Supreme Court has placed both ends- and means-proportionality limits on these practices. The charged offense must be serious, the medication must be medically appropriate and effective, and there must be no less intrusive means of administering the drugs and achieving the desired effects. Part E examines the use of proportionality principles in deciding when a nominally “civil” or “regulatory” measure is actually intended as “punishment” and is therefore subject to constitutionally required criminal procedure rules and limitations. The Court appears to be using a means-proportionality test here in asking whether the challenged measure is more severe than necessary to achieve the asserted nonpunitive, regulatory goal. However, the concern is not with disproportionality itself but rather with the inferred punitive intent—disproportionality serves an evidentiary function.

Procedure

97

In the last two parts of this chapter the focus shifts from proportionality analysis as protector of rights to proportionality as a justiﬁcation for limiting the scope of criminal procedure rights and remedies. Part F explores the many cases in which the Supreme Court has used implicit proportionality arguments to limit the scope of the exclusionary rules that enforce Fourth, Fifth, and Sixth amendment rights. The exclusionary remedy is not applied when the Court concludes that the cost of excluding the evidence in question would outweigh the additional enforcement beneﬁts likely to result from exclusion (ends proportionality). Some justices have also argued that certain exclusionary remedies should be narrowly tailored—a form of means proportionality. In these contexts, a ﬁnding of ends and/or means disproportionality favors the government, not the citizen. Part G examines implicit proportionality limits on pretrial, trial, and posttrial procedural rights. Sixth Amendment rights to appointed counsel and jury trial have been limited when the crime or the penalty is minor—a categoric endsproportionality rule that is based in part on the assumption that for minor crimes the cost and administrative burdens of these safeguards outweigh their truth-seeking and other beneﬁts. Here again, a ﬁnding of disproportionality favors the government. By the same reasoning, subconstitutional laws often grant fewer procedural rights in less serious cases, thus, in effect, “making the procedure ﬁt the crime.”

A. THE FOURTH AMENDMENT PROHIBITION OF UNREASONABLE SEARCHES AND SEIZURES Ends- and means-proportionality principles are implicit in many of the Court’s decisions deﬁning the limits the Fourth Amendment places on government search-and-seizure powers. The language of proportionality has occasionally been explicitly invoked but without any clear or consistent deﬁnition.

1. Proportionality Principles Implicit in “Reasonableness Balancing” In law enforcement and regulatory contexts in which special needs or other circumstances make the Fourth Amendment’s warrant and probable cause standards impractical, the Supreme Court has used the amendment’s more general prohibition of “unreasonable searches and seizures” to uphold a wide variety of warrantless (and often also suspicionless) intrusions. The Court has interpreted “reasonableness” as requiring a balancing of the strength of the government interests supporting the search or seizure against the nature and degree of the intrusion on the citizen’s privacy, liberty, and/or property rights. Using this approach, the

98

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

Court and lower courts have upheld municipal building inspections; searches of regulated industries; investigatory stops, weapons frisks, and property detentions; automobile and jail inventories; immigration and drunk driving roadblocks; airport, subway, and other security measures; searches and drug testing of high school students, public employees, and convicts; and various extensions of police powers beyond the scope already justiﬁed by a warrant or an individualized suspicion.1 When courts invoke reasonableness balancing they examine a wide range of factors.2 Some factors primarily reﬂect ends-beneﬁts proportionality by directly or indirectly assessing the strength of the government’s justiﬁcations for and interests served by the intrusion—the seriousness and immediacy of the harms the government sought to prevent and the degree of individualized or target-group suspicion. Other balancing factors primarily reﬂect alternative-means proportionality principles—the feasibility of applying individualized suspicion and warrant requirements in this context (versus the need to dispense with them) and the availability of less intrusive means to achieve the government’s objective. However, the latter appears to be a fairly weak factor; at one time the Court seemed ready to adopt a least-intrusive means test in Terry v. Ohio (“stop and frisk”) cases, but later cases expressly rejected this requirement not only under Terry but also in several other contexts.3 Finally, some factors in the balance reﬂect both ends- and meansproportionality principles—assessments of the nature and degree of the intrusion (and of alternative means); considerations of the presence of a warrant, warrant substitute, or other limits on police discretion in conducting the intrusion; and the effectiveness of the government’s challenged measures (and of alternative means to achieve these same purposes). A number of scholars have articulated Fourth Amendment proportionality principles,4 but majority opinions of the Supreme Court have never explicitly sought to justify the Court’s reasonableness-balancing approach on proportionality grounds. However, several justices have cited proportionality principles in concurring or dissenting opinions. In McDonald v. United States,5 Justice Jackson opined that warrantless entry to arrest for a minor offense would display “a shocking lack of all sense of proportion.” And in Atwater v. City of Lago Vista Justice O’Connor invoked proportionality principles in her forceful dissent, critiquing the majority’s refusal to engage in case-speciﬁc balancing and its approval of the custodial arrest of a woman for violation of a seat belt law punishable by only a $50 ﬁne. Justice O’Connor argued that Atwater’s arrest was disproportionate not only in relation to the minor nature of her offense (ends proportionality) but also relative to any legitimate need to take her into custody (means proportionality).6 Justice O’Connor thus clearly approved of both ends- and means-proportionality principles, although she did not clearly identify and distinguish them.

Procedure

99

Application of proportionality analysis, rather than the Court’s multifactor balancing approach, would clarify the essential ends-beneﬁts tradeoffs and might also encourage courts, in appropriate cases, to apply alternative-means analysis more frequently. In the Atwater case, for example, a better understanding of the distinct ends- and means-proportionality principles implicit in Justice O’Connor’s dissent (and recognition of their widespread application) might have persuaded one of the ﬁve justices in the majority (most likely Justice Souter or Justice Kennedy) to invalidate the totally unnecessary, minor-offense arrest at issue in that case. Another advantage of using explicit proportionality concepts is that they lend themselves more readily to the actual task courts face in these cases—setting appropriate and meaningful limits on excessive government measures. As the Introduction points out, proportionality principles are better suited to the process of judicial review than is a balancing metaphor since the latter suggests a speciﬁc, optimum solution. Courts have limited time, competence, and legitimacy to determine optimum solutions to complex, fact-speciﬁc, and fast-moving law enforcement problems. It is much easier and more appropriate for a reviewing court to say “This was clearly too much” than to say “This would have been the optimum.” When courts review police search-and-seizure decisions after the fact and in the absence of previously deﬁned decision rules (discussed later), the question is not what the optimum ends-beneﬁts balance was at the time the decision was made or what the optimum choice among alternative means would have been but rather whether the measures used were so severe, relative to their purposes and/or to alternative means, that a court should ﬁnd the search or seizure to be unreasonable. However, proportionality analysis, like reasonableness balancing, is a standard that, because it depends on many factors assessed under the “totality of the circumstances,” may be quite difﬁcult for police and other ofﬁcials to apply. These ofﬁcials need practical, simpliﬁed decision rules. For this reason, the Supreme Court has often used balancing only to decide that further limits on or expansions of certain police powers are needed, after which it formulates a simpler set of rules to guide the exercise of these powers.7 Yet judicial drafting of such decision rules is problematic: By what logic do courts translate from general standards to speciﬁc rules? And in doing this, how can they avoid the appearance of engaging in “judicial legislation”? One solution to these problems would be for courts to simplify the ﬁrst step in this process. At the policy-analysis stage, instead of engaging in vague, multifactor reasonableness balancing, courts could use a simpliﬁed version of proportionality, which would translate much more directly into a workable decision rule

100

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

for ofﬁcials. As discussed in the next section, the Court has in fact employed this approach in a few of its Fourth Amendment cases.

2. Simpler Proportionality Rules Based On Offense Severity and Offender Risk In several cases the Supreme Court used implicit ends-proportionality principles keyed to offense severity and/or offender risk to limit the use of speciﬁed police measures. This approach (hereafter “offense-offender seriousness”) is essentially a simpliﬁed version of reasonableness balancing, but the Court has not always invoked balancing in these cases, and the two approaches differ in important ways. Reasonableness balancing and offense-offender seriousness both examine the nature and degree of the intrusion on privacy, physical liberty, or property that the search or seizure entails, but the offense-offender seriousness standard is much simpler on the “government need” side of the ledger. As noted in the previous section, reasonableness balancing examines a broad range of factors, including the immediacy of potential harms it seeks to prevent, degree of individualized or target-group suspicion, feasibility of applying individualized suspicion and warrant requirements, availability of less intrusive means to achieve the government’s interest, presence of a warrant or other limits on police discretion, and effectiveness of the government’s challenged measures and alternative measures. In contrast, the offense-offender seriousness approach focuses entirely on the severity of the suspected offense or the dangerousness of the offender. This narrower focus makes the offense-offender seriousness approach easier to apply and also facilitates direct translation into practical decision rules for police and other public ofﬁcials. Most of these cases have in fact announced such a decision rule, based on offense severity and/or offender risk, and aimed at speciﬁed police measures. In Welsh v. Wisconsin8 the Court held—without mentioning reasonableness balancing—that the police could not make a warrantless, exigent-circumstances entry of a person’s house to effect an arrest for a nonjailable ﬁrst offense of drunk driving. The ofﬁcers had probable cause to arrest and also reason to believe that delaying the arrest until a warrant was obtained would result in the loss of the crucial evidence of intoxication (blood alcohol levels steadily diminish over time in the absence of continued drinking). The Court noted that many courts view the seriousness of the offense as an important factor in assessing the reasonableness of a warrantless entry and concluded that “it is difﬁcult to conceive of a warrantless home arrest that would not be unreasonable under the Fourth Amendment when the underlying offense is extremely minor.”9 It also quoted from an earlier decision in which Justice Jackson opined that warrantless entry in such a case would involve “a shocking lack of all sense of proportion.”10 The Court recognized

Procedure

101

that drunk driving poses major risks to persons and property but concluded that Wisconsin’s decision to classify ﬁrst-time violations as nonjailable, civil offenses is the best indication of the extent of the state’s interest in making an arrest to enforce this law.11 In effect, the Court in Welsh held that the substantial intrusion of warrantless home entry was disproportionate in relation to the minor crime that intrusion sought to investigate. Yet the Court’s emphasis on the warrantless nature of the entry and its citation of prior warrantless entry cases implied that the same physical acts would not have been viewed as disproportionate if the entry were based on an arrest warrant. Moreover, no subsequent case has extended Welsh to warrant-based entries to arrest. However, ends-proportionality principles still serve to justify the Court’s narrow decision because warrantless entry is a greater intrusion than entry made with a warrant, and the former is also less likely to beneﬁt the government. Warrantless entry is a greater intrusion subjectively because the homeowner has less assurance that the arrest is legal and that the ofﬁcer’s powers are limited. It is a greater intrusion objectively and also less likely to beneﬁt the government because an arrest that lacks prior judicial review is more likely to lack probable cause and to intrude on innocent persons. A similarly limited, offenseseverity proportionality principle underlies the common law rule (still recognized in some form by most states12) that forbids warrantless arrest for misdemeanors not committed within the presence of the arresting ofﬁcer or citizen. In several later cases, the Court used implicit offense-offender seriousness and ends-proportionality principles to limit other police measures. Although the Court in these cases invoked “reasonableness balancing” and did not cite its holding in Welsh, the reasoning of these decisions, as well as the decision rules adopted, was similar to the Court’s approach in Welsh—the “government need” discussion focused almost entirely on the seriousness or dangerousness of the suspected offense or offender, and in most of these cases the Court, as it had in Welsh, fashioned a categoric decision rule limited to the particular police measure being challenged. In Tennessee v. Garner,13 the Court held that police may not use deadly force to stop and arrest a ﬂeeing suspect unless there is probable cause to believe that the suspect poses a threat of serious physical harm to the ofﬁcer or others or has committed a crime that involves the inﬂiction or threatened inﬂiction of serious physical harm. Garner reﬂects ends-beneﬁt proportionality in that the Court expressly assumed it is better that a nondangerous suspect wanted for a nonviolent crime be allowed to ﬂee than that the suspect be killed; death or risk of death to the suspect and/or to bystanders is disproportionate in relation to the public interest served by promptly apprehending such a suspect. Although the Court invoked reasonableness balancing, its focus on offender dangerousness and offense seriousness make

102

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

the analysis much more like the approach of Welsh. Moreover, as in Welsh, the Court fashioned a practical decision rule keyed both to offense-offender seriousness and to the particular police measure at issue. The decision in Garner was also based in part on a principle akin to means proportionality. The Court speciﬁed that deadly force must be necessary to prevent escape (nondeadly force must be used if it will be effective) and that, if feasible, some warning must be given (which, if it causes the suspect to submit, avoids the need to shoot); the Court further noted that a majority of American police departments forbid their ofﬁcers to use deadly force against nonviolent suspects and concluded that “there is a substantial basis for doubting that the use of such force is an essential attribute of the arrest power in all felony cases.”14 In other words, nondeadly force (on the scene or in subsequent efforts to apprehend the suspect if he does initially escape) appears to be adequate to enforce the law against nonviolent suspects; the use of deadly force is unnecessary—and therefore means disproportionate—in relation to effective nondeadly means of apprehension. Ends- and means-proportionality principles have also been implicitly invoked, along with explicit offense-offender seriousness criteria, to assess claims of excessive nondeadly force in making arrests, investigatory stops, and other seizures of the person. In Graham v. Connor15 the Court held that three factors should be considered in such cases: “the severity of the crime at issue, whether the suspect poses an immediate threat to the safety of the ofﬁcers or others, and whether he is actively resisting arrest or attempting to evade arrest by ﬂight.” The ﬁrst and second factors reﬂect ends proportionality and offense-offender seriousness—as in Garner, the Court is saying that the force police use to effect a seizure may be excessive relative to the beneﬁts to be achieved by the use of such force, as measured by the seriousness of the suspected crime or the suspect’s dangerousness. The third Graham factor may reﬂect means proportionality: In the absence of active resistance or ﬂight, the force used by the police may exceed what is necessary to safely effect the arrest. In United States v. Hensley16 the Court suggested another possible offenseoffender seriousness proportionality limit on police powers. While holding that the Terry v. Ohio investigative stop procedure could be used to investigate a completed felony crime, the Court expressly declined to decide whether such stops may also be used for less serious, completed offenses. Several lower courts have adopted this ends-proportionality-based limitation on the Terry doctrine.17 Moreover, in a variety of other contexts, lower courts have considered the seriousness of the offense to be an important factor in determining the reasonableness of a search or seizure, particularly very intrusive police measures.18 To summarize: Welsh v. Wisconsin and later cases that put offense-offender seriousness limits on speciﬁed police measures suggest a simpler and better way

Procedure

103

for courts to evaluate and limit such measures—better than the Court’s vague, reasonableness balancing approach and perhaps also better than direct application of the ends- and means-proportionality principles that underlie reasonableness balancing. Offense-offender seriousness rules are easier for reviewing courts to apply, and, as these cases show, they also translate directly into workable and defensible decision rules for police and other public ofﬁcials.

B. CONSTITUTIONAL AND SUBCONSTITUTIONAL LIMITS ON PRETRIAL DETENTION AND RELEASE ORDERS Proportionality principles are implicit in federal and state constitutional texts and interpretive case law, as well as in statutes and rules governing pretrial release and detention. Alternative-means proportionality is widely recognized, but endsbeneﬁts proportionality may also be implicit in some rules and decisions.

1. Federal and State Constitutional Excessive Bail Clauses The prohibitions of “excessive” bail found in the Eighth Amendment and in many state constitutions clearly imply some sort of proportionality limit, but courts have had few occasions to interpret the meaning of these provisions. The sole U.S. Supreme Court ruling to date was in Stack v. Boyle,19 where the Court, having stated that the purpose of bail is to ensure the presence of the accused at trial and other hearings, concluded that “[b]ail set at a ﬁgure higher than an amount reasonably calculated to fulﬁll this purpose is ‘excessive’ under the Eighth Amendment.”20 This language strongly implies a form of alternative-means proportionality: If a lower bail amount would sufﬁce to achieve the government’s interest, any higher bail is excessive.

2. Other Proportionality Limits on Pretrial Release and Detention Measures Subconstitutional state and federal pretrial release rules also frequently incorporate alternative-means proportionality principles in provisions that regulate the use of various pretrial release alternatives. These laws deﬁne a range of increasingly restrictive release conditions and direct courts to choose the least restrictive option that will protect speciﬁed government interests. For example, the federal statute provides that defendants shall be released on an unsecured appearance bond or promise to appear unless the court ﬁnds “that such release will not reasonably assure the appearance of the person as required or will endanger the

104

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

safety of any other person or the community”; when such a determination has been made, the court must then impose “the least restrictive further condition, or combination of conditions,” from a list of fourteen options, that will “reasonably assure” appearance and safety.21 Some state constitutions, statutes, codes, and case law, as well as pretrial detention rules in foreign countries,22 apply an offense- or expected-sentence-severity criterion as one factor and/or as an absolute upper limit on the amount of bail or the availability of pretrial detention. Some rules state that bail may not exceed a speciﬁed multiple of the maximum ﬁne for the most serious offense charged; other rules preclude high bail or any bail requirement for speciﬁed minor crimes or offense categories.23 Reviewing courts sometimes invalidate high bail amounts at least in part on the grounds that the amount is too high for the seriousness of the charged offenses.24 Rules of this type might just represent an indirect measure of the risk of ﬂight or further crime: Offenders who face more serious charges are presumed to have a stronger motive to ﬂee and/or to be more dangerous. On this theory, proportionality to offense severity is not valued for its own sake but rather serves an evidentiary or proxy role.25 However, to the extent that charged-offense severity is deemed directly relevant, such rules appear to reﬂect utilitarian endsbeneﬁt proportionality principles; in less serious cases, the expense and hardship of high bail and pretrial detention are not justiﬁed by the state’s interest in the prosecution. (Although offense severity is also relevant to limiting retributive proportionality principles, the latter do not seem to apply to measures that are not and constitutionally cannot be intended as punishment. See part E for a discussion of the “regulation” versus “punishment” distinction, as well as the general discussion in chapter 7 on retributive theory.) The paradigmatic case under such an offense-based approach would be an offender charged with a minor crime who is deemed to be dangerous or to pose a substantial risk of ﬂight—such an offender might commit other crimes or ﬂee unless bail is set very high (hence, there is no means-proportionality problem), but the burdens of high bail or pretrial detention may outweigh the value to society of obtaining a conviction. Such cases are rarely reported, in part because pretrial release issues often become moot by the time appellate review can be obtained, but in several minor-crime cases, bail was reduced despite substantial evidence of offender danger and/or ﬂight risk.26 Given the importance of pretrial release decisions—which may determine or render moot the ultimate resolution of the charges by trial or plea—it is surprising how little speciﬁc content the courts have given to federal and state constitutional and subconstitutional pretrial release and detention provisions. Courts might be encouraged to provide more frequent and useful guidance if they were to focus more speciﬁcally on the ways in which bail and other pretrial release decisions

Procedure

105

can be excessive. As the scattered examples discussed here suggest, these varieties of excessiveness correspond to alternative-means and possibly also ends-beneﬁts proportionality.

C. CONSTITUTIONAL PROHIBITION OF EXCESSIVE BURDENS ON DEFENSE PROCEDURAL RIGHTS In several cases the Supreme Court has invalidated rules or practices that placed a substantial burden on the defendant’s exercise of constitutionally protected trial rights. Both the rationale and the scope of some of the rulings are unclear. Several decisions seem to be based on principles akin to means proportionality, whereas other decisions reﬂect implicit ends-proportionality principles or both means and ends proportionality. In United States v. Jackson27 the Court struck down a federal statute that permitted the death penalty to be imposed only when conviction is obtained by jury trial and the jury recommends death. In holding that this statute burdened the rights to plead not guilty and demand a jury trial and that the asserted state interest could be satisﬁed in less burdensome ways, the Court implicitly applied a means-proportionality requirement: The goal of limiting the death penalty to cases in which a jury recommends it is an entirely legitimate one. But that goal can be achieved without penalizing those defendants who plead not guilty and demand jury trial. In some States, for example, the choice between life imprisonment and capital punishment is left to a jury in every case—regardless of how the defendant’s guilt has been determined. . . . Congress cannot impose such a penalty in a manner that needlessly penalizes the assertion of a constitutional right. Another case based on implicit means-proportionality principles and explicitly using the language of proportionality is Rock v. Arkansas.28 The Court held in Rock that limits on the defendant’s right to testify at trial must be narrowly tailored and must not sweep more broadly than necessary to achieve legitimate government purposes. The Court noted that [o]f course, the right to present relevant testimony is not without limitation. The right “may, in appropriate cases, bow to accommodate other legitimate interests in the criminal trial process.” But restrictions of a defendant’s right to testify may not be arbitrary or disproportionate to

106

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

the purposes they are designed to serve. In applying its evidentiary rules a State must evaluate whether the interests served by a rule justify the limitation imposed on the defendant’s constitutional right to testify [internal citations and footnote omitted]. Applying these standards, the Court struck down an Arkansas rule that placed an absolute ban on the use of hypnotically refreshed testimony. Because various less drastic procedural safeguards are available to deal with the potential unreliability of such testimony, Arkansas’s rule was overbroad and unconstitutional. In United States v. Jackson (supra), the Court cited an earlier decision, Grifﬁn v. California,29 which had held that adverse comment by the trial judge or prosecutor on the defendant’s failure to take the stand impermissibly burdened the privilege against compelled self-incrimination. But unlike Jackson, nothing in the language or procedural context of Grifﬁn suggested a means-proportionality theory (i.e., one focused on alternatives to comment, available to the court and the prosecutor). Nor did the Court in Grifﬁn signal an intent to rule broadly; it did not say that such comment lacks any probative value or that, regardless of probative value, any state action that burdens the defendant’s testimonial choice is impermissible. However, a narrower, ends-proportionality argument can justify the holding in Grifﬁn; the probative value of the (comment-encouraged) inferences that might be drawn from the defendant’s silence is low and is therefore outweighed by the burden that comment or the threat of comment places on the decision not to testify. Since the jury cannot know all of the reasons for the defendant’s decision—some of which (e.g., the availability of impeaching prior convictions; the desire to shield a loved one or gang boss from liability) are consistent with innocence of the charged offense—the inference of guilt from defendant’s silence is sometimes very weak. Subsequent cases appear to reinforce this view of Grifﬁn. For example, in Portuondo v. Agard,30 the Court distinguished Grifﬁn and refused to condemn a prosecutor’s argument to the jury that the defendant’s presence at trial allowed him to tailor his testimony to that of prior witnesses. The Court concluded that such comment serves the central truth-seeking function of trial and does not impermissibly burden the right to be present at the trial. An ends-proportionality analysis clearly underlay the Court’s decision in Brooks v. Tennessee,31 which struck down a state law that permitted the defendant to exercise his right to testify only if he took the stand at the outset of the defense case. The Court recognized the state’s interest in preventing the defendant from shaping his testimony to conform with other defense witness testimony but held that the state law in question impermissibly burdened the right to testify (and also interfered with the effectiveness of counsel’s assistance in exercising that right) by forcing the defendant to testify (or forego testifying) before he could determine

Procedure

107

whether taking the stand was in his best interest. The Court concluded: “Although the Tennessee statute does reﬂect a state interest in preventing testimonial inﬂuence, we do not regard that interest as sufﬁcient to override the defendant’s right to remain silent.”32 This language strongly suggests ends-proportionality analysis: The burden on the defendant’s trial rights was found to be more important than the state’s interests, which were supposedly served by imposing that burden. Finally, the Supreme Court has implicitly invoked both means- and endsproportionality principles in cases limiting in-court use of visible shackles. In Deck v. Missouri,33 the Court held that the due process clause forbids the use of visible shackles in front of the jury during the penalty phase of a capital case, just as it forbids their use during the guilt phase of trials “unless that use is ‘justiﬁed by an essential state interest’—such as the interest in courtroom security—speciﬁc to the defendant on trial.” The “essential state interest” requirement is a categoric ends-proportionality rule (like “compelling” interest, in strict scrutiny analysis, discussed in chapter 3). The constitutional standards regulating in-court shackling also incorporate means-proportionality principles. In Deck supra, the Court criticized the absence of any ﬁnding of a need for shackling and added: “Nor did [the judge] explain why, if shackles were necessary, he chose not to provide for shackles that the jury could not see—apparently the arrangement used at trial.”34 This language suggests a narrow-tailoring concept or even a least-restrictive-alternative requirement, akin to means proportionality. These cases imply but do not clearly state their grounding in ends- and/or means-proportionality principles. The rationale and scope of these holdings— particularly Grifﬁn—would have been clearer if the Court had made explicit reference to ends- and means-proportionality principles and had speciﬁed which aspects of each rule were governed by each principle.

D. CONSTITUTIONAL LIMITS ON FORCED MEDICATION OF INMATES AND DEFENDANTS AWAITING TRIAL The Supreme Court has held that prison inmates and pretrial detainees have a due process liberty interest in avoiding forced medication with antipsychotic drugs designed to either make them easier to manage in jail or prison or render them competent to stand trial. The Court’s decisions place both ends- and meansproportionality limits on these practices. The latest of these cases, Sell v. United States,35 involved the use of drugs designed to induce and maintain trial competency. The Court held that

108

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

the Constitution permits the Government involuntarily to administer anti-psychotic drugs to a mentally ill defendant facing serious criminal charges in order to render that defendant competent to stand trial, but only if the treatment is medically appropriate, is substantially unlikely to have side effects that may undermine the fairness of the trial, and, taking account of less intrusive alternatives, is necessary signiﬁcantly to further important governmental trial-related interests.36 The Court speciﬁed that a sufﬁciently important governmental interest exists where the offender is charged with a serious crime against person or property. However, trial and reviewing courts must also consider, as offsets to the government’s substantial interest in timely prosecution, conviction, and punishment, whether the defendant has already been conﬁned for a substantial period of time in a medical or mental health center and/or would be so conﬁned if not rendered competent by forced medication. Either form of conﬁnement would protect public safety and could satisfy a substantial portion of any future criminal sentence (via credit for time served awaiting trial), and any treatment received during such conﬁnement might reduce the likelihood of the defendant’s committing future crimes. The Sell opinion further provides that forced medication requires a ﬁnding that less intrusive treatments are unlikely to achieve substantially the same results. Courts must also consider less intrusive means for administering the drugs (e.g., ordering the defendant to take the drugs, with threatened contempt sanctions, before forcibly administering them), and they must make certain that administration of the drugs is in the defendant’s best medical interest in light of his medical condition, the potential side effects, and the likely effectiveness of the drugs in his case. The Sell standards embody independent ends- and means-proportionality principles. Forced medication violates ends-proportionality principles if the loss of liberty and attendant medical risks outweigh the importance of the charges and the drugs’ probable effectiveness in restoring competence and ensuring a fair trial. Such medication violates means proportionality if there are less intrusive ways to restore competency or administer the drugs. Moreover, forced medication might violate both of these proportionality principles if it were found not to signiﬁcantly further the state’s asserted interest. In the ﬁrst in this line of cases, Washington v. Harper,37 involving the proposed medication of a dangerous prison inmate, the Court appeared to apply a somewhat looser standard, more akin to rational basis review, by asking whether the prison regulation was “reasonably related to legitimate penological interests.” However, some proportionality analysis was implicit, and it is possible that the stricter standards adopted in later, trial-competency cases like Sell have modiﬁed

Procedure

109

Harper. Of course, proportionality standards can and should be tailored to the speciﬁc context, and it seems likely that the Court will evaluate trial competency measures more strictly than measures designed to maintain prison and jail security.38 The precise scope of the Court’s rulings and the different standards applied in different contexts would be clearer if the Court were to explicitly recognize and separately apply the ends- and means-proportionality principles that underlie each of these decisions.

E. CONSTITUTIONAL STANDARDS FOR DISTINGUISHING CRIMINAL FROM CIVIL MEASURES In a variety of contexts, courts must decide whether a nominally civil or regulatory measure is actually intended as punishment and is therefore subject to constitutionally required criminal procedure rules and limitations (an issue sometimes referred to as the “civil-criminal divide” or “boundary”).39 If a government measure is deemed to be a form of regulation, it can be imposed using much less demanding civil or administrative procedures—even if that measure imposes substantial monetary or custodial conditions (e.g., civil ﬁnes, pretrial detention of criminal defendants, involuntary civil commitment).40 But if the measure is deemed to be punishment, its imposition without conviction and compliance with constitutionally required criminal procedures violates substantive due process.41 Similar rules that distinguish between regulation and punishment determine whether a measure is subject to the ex post facto and double jeopardy clauses.42 In each of these contexts, proportionality is not sought in its own right but instead serves an evidentiary function—the excessiveness of a measure implies that the actual intent is to impose punishment. The notion of excessiveness applied in these cases seems to be a means proportionality concept by asking whether the measure is unnecessarily broad or unreasonably intrusive in light of its supposed nonpunitive purpose. Some scholars have suggested that a similar goal of ﬂushing out illicit unconstitutional motivations underlies the narrow-tailoring requirement (also a form of means proportionality) under strict scrutiny analysis.43 However, only a few cases have invalidated government measures on this ground.44 In recent years the Supreme Court has almost always found measures to be regulatory and has stressed that the excessiveness inquiry is only one of several factors courts should consider.45 Moreover, in applying the excessiveness factor the Court has rejected a requirement of narrow tailoring—“a statute is not deemed punitive simply because it lacks a close or perfect ﬁt with the nonpunitive aims it seeks to advance.”46 Of course, there are many degrees of means-proportionality analysis,47 and the Court’s rejection of narrow tailoring does not rule out less

110

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

constraining forms. The focus in these cases was on the use of disproportionality to infer punitive intent, but the Court’s strong language may also have been intended to signal an unwillingness to constitutionalize strict means proportionality as a direct limit on severe civil or regulatory measures, as some lower courts have done in the contexts of juvenile justice and involuntary civil commitment.48

F. PROPORTIONALITY LIMITS ON THE SCOPE OF CONSTITUTIONAL EXCLUSIONARY RULES In criminal and quasi-criminal justice contexts, proportionality analysis is most often employed to safeguard individual rights and liberties from government overreaching. However, a ﬁnding of disproportionality sometimes favors the government. Several examples are discussed in this part (exclusionary rules) and in part G (proportionality-based limits on pretrial, trial, and posttrial procedural rights). The Supreme Court has invoked a cost-beneﬁt concept akin to ends proportionality to justify a variety of limits on the scope of exclusionary remedies for violations of constitutionally protected rights. The Court used this approach to admit evidence obtained in reasonable reliance on an invalid search warrant,49 to limit the number of persons granted standing to contest police illegalities,50 and to permit impeachment and other collateral use of evidence obtained in violation of the Fourth Amendment or the Miranda rule.51 In each of these contexts the Court concluded that any added deterrence of police illegality obtained by applying or extending the exclusionary rule in the manner sought by the defendant is outweighed by the added cost of excluding reliable evidence.52 As economists would say, the marginal cost of exclusion outweighs the marginal beneﬁt. A different ends-proportionality argument underlies another limitation on exclusionary remedies, the “attenuation” doctrine. In Brown v. Illinois,53 the Court recognized four factors as relevant to whether the causal link between an illegal arrest and a subsequent confession would be deemed sufﬁciently attenuated to allow the confession to be admitted in the prosecution’s case: whether Miranda warnings were given; the temporal proximity between the illegality and the confession; the presence or absence of intervening circumstances; “and particularly, the purpose and ﬂagrancy” of the illegal arrest (emphasis added). Thus, it appears that the gravity of the police “offense” against the Constitution is the most important factor in determining the scope of the exclusionary rule—more egregious illegalities justify the exclusion of more remote evidentiary fruits.54 The implicit reasoning is similar to one of Bentham’s arguments in favor of punishments proportional to crime seriousness: The beneﬁts of preventing more serious crimes justify the greater costs of more severe penalties.55

Procedure

111

A similar, implicit ends-beneﬁts proportionality principle may explain the narrower exclusionary remedies that many courts apply to subconstitutional rights violations.56 The underlying ends-proportionality policy argument (rarely made explicit in these decisions) is that subconstitutional rights are less weighty and the beneﬁt of enforcing these rights is outweighed by the cost of excluding relevant and reliable evidence. As noted earlier, most decisions that limit the scope of constitutional exclusionary rules seem to reﬂect ends-beneﬁts proportionality principles. However, a few could be viewed as applying an alternative-means proportionality concept. In Harris v. New York,57 permitting impeachment use of evidence obtained in violation of the Miranda rule, the Court stated: The impeachment process here undoubtedly provided valuable aid to the jury in assessing petitioner’s credibility, and the beneﬁts of this process should not be lost, in our view, because of the speculative possibility that impermissible police conduct will be encouraged thereby. Assuming that the exclusionary rule has a deterrent effect on proscribed police conduct, sufﬁcient deterrence ﬂows when the evidence in question is made unavailable to the prosecution in its case in chief.58 Since the Court viewed the deterrence likely to be obtained from exclusion in the case in chief as sufﬁcient to satisfy minimum constitutional requirements for an effective remedy, the analysis here is a form of means proportionality. Where exclusion of illegal evidence for impeachment adds no constitutionally required beneﬁt, then a broader exclusionary rule that forbids such impeachment use would be excessive (means disproportionate) relative to a more narrowly tailored, constitutionally adequate remedy. Similarly, several justices have recently articulated a narrow-tailoring, “nomore-than-necessary” test that reﬂects means-proportionality principles as a limitation on the Miranda rule and all remedies designed to enforce it. Justice Thomas’s plurality opinion in United States v. Patane (joined by Chief Justice Rehnquist and Justice Scalia), repeatedly stresses the need to maintain “the closest possible ﬁt between the Self-Incrimination Clause and any rule designed to protect it.”59 A means-proportionality principle applicable to judicially implied subsidiary rights designed to protect the Fifth Amendment privilege is also suggested in Justice Souter’s concurring opinion in Chavez v. Martínez: “Is this new rule necessary in aid of the basic guarantee?”60 These narrow-tailoring opinions thus suggest a kind of proportionality analysis that differs substantially from the Court’s cases evaluating the marginal costs and beneﬁts of broader exclusionary remedies. Narrow tailoring

112

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

implies means proportionality—the focus is on a comparison between alternative (broad versus narrow) exclusionary rules, and the assumption is that there is no actual or constitutionally required difference in the effectiveness of the broader and narrower rules. In contrast, the Court’s cost-beneﬁt decisions represent a form of ends-proportionality analysis. These cases assume that additional deterrence of illegalities may result from a broader exclusionary rule, and the cases thus focus on comparing that added beneﬁt to the added cost of excluding probative evidence. The justices who have recently proposed a meansproportionality concept have not discussed how this approach compares to the Court’s usual ends-proportionality analysis and why means-proportionality analysis is better. Arguably, all of the cases that limit the scope of judicially created, constitutionally based exclusionary rules and subsidiary rights could be viewed as applications of means proportionality. On this view, each of these exclusionary rules and subsidiary rights has a constitutionally required minimum scope.61 If the scope of a given exclusionary rule or implied right yields insufﬁcient beneﬁts in one or more constitutionally relevant ways—in particular, insufﬁcient deterrence of violations or insufﬁciently frequent occasions for courts to clarify the meaning and scope of constitutional rights (the so-called teaching function of exclusionary rules62)—then the exclusionary rule or implied right is not broad enough. If the scope of the rule or right or a proposed expansion either provides no additional beneﬁts compared to a narrower rule or produces no beneﬁts needed to provide a constitutionally adequate remedy or subsidiary right, then the existing or proposed rule or right is excessive in a means-proportionality sense, and a more narrowly tailored version is sufﬁcient. Moreover, on this view, the social costs of excluding evidence or recognizing a subsidiary right are irrelevant if the scope of the exclusionary rule or subsidiary right in question is equal to or less than the minimum constitutional requirements. However, how are such minimum requirements determined? What is a sufﬁcient exclusionary remedy or subsidiary right? An ends-proportionality approach avoids this problem by asking only whether the added beneﬁts of a broader remedy or right are worth the added costs. But that approach raises a different problem: How can such seemingly incommensurate beneﬁts and costs be objectively compared? The Court and individual justices need to clarify which proportionality concepts they are using to determine the scope of exclusionary rules and subsidiary rights and why. In addition, some of the justices need to explain the very different approaches they have taken in various contexts. Conservative justices should explain why they are so willing to use proportionality concepts to favor the government (by limiting exclusionary remedies), whereas

Procedure

113

in other contexts they strongly oppose the use of these concepts to favor suspects, defendants, and other citizens. Liberal justices should explain why they take the opposite approach—favoring proportionality-type limits that benefit the individual citizen but opposing the use of similar concepts to favor the government.

G. PROPORTIONALITY OF PRETRIAL, TRIAL, AND POSTTRIAL PROCEDURAL RIGHTS TO OFFENSE SEVERITY Many constitutional and subconstitutional procedural rights are not available or are narrower in scope for less serious crimes—what one might call “making the procedure ﬁt the crime.” Some of these limits are based on the historical or traditional meaning of the right in question, but to the extent that courts discuss policy arguments, the rationale is similar to that explicitly adopted by the Court, with respect to administrative due process, in Mathews v. Eldridge:63 In minor cases the beneﬁts of additional procedural safeguards (reduced risk of unfair or erroneous outcomes, multiplied by the severity of those outcomes) are outweighed by the costs and administrative burdens they incur. This is a form of ends-beneﬁts proportionality and, as with the limits on exclusionary rules discussed in part F, a ﬁnding of disproportionality (of the costs and burdens of broader procedural rights, relative to the beneﬁts as measured by crime severity) favors the government, not the citizen. As is discussed in part A, a different offense-severity proportionality principle applies to police search-and-seizure powers: Less serious crimes give the police less power, and suspects have more rights. These seemingly contradictory offenseseverity rules are explained by the differing interests involved. In both contexts, greater procedural protections are costly and tend to frustrate law enforcement and prosecution, which is a greater concern the more serious the offense. In the search-and-seizure context the burden on effective law enforcement and truth seeking is particularly great in that it may result in lost evidence (most of it very reliable physical evidence) and lost suspects. On the beneﬁts side of the ledger, broader citizen rights provide greater protection for privacy, property, and physical liberty, but the value of this protection depends on the particular search or seizure and is not necessarily greater in the investigation of more serious crimes. At later stages of criminal procedure greater citizen rights may yield fewer convictions, but such rights help to avoid unfair or erroneous outcomes; that beneﬁt is deemed to be more important than the procedural costs and lost convictions, and the net beneﬁt of increased fairness and accuracy is greater the more serious the charges.

114

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

1. Limited Constitutional Procedure Rights in Minor Crime Cases The Supreme Court has held that the Sixth Amendment jury trial right does not apply to crimes punishable with incarceration of six months or less.64 A different but analogous rule limits the scope of the automatic Sixth Amendment right to appointed counsel at trial, recognized in Gideon v. Wainwright65—in misdemeanor cases the Gideon counsel right applies only if the actual sentence imposed includes some period of incarceration or at least a suspended custody term.66 The Court’s limitation of the jury right (and in particular the scope of that limitation) is based in part on history: The “petty offense” jury right exception dates to the English common law era.67 However, that limitation, as well as the limit on the Gideon appointed counsel right, also reﬂects a cost-beneﬁt calculus akin to ends proportionality. In Duncan v. Louisiana68 the Court stated that “[t]he possible consequences to defendants from convictions for petty offenses have been thought insufﬁcient to outweigh the beneﬁts to efﬁcient law enforcement and simpliﬁed judicial administration resulting from the availability of speedy and inexpensive nonjury adjudications.” And in Scott v. Illinois69 the Court reasoned that broadly extending appointed counsel rights to misdemeanor cases would “impose unpredictable, but necessarily substantial costs on 50 quite diverse states.” Another example of a constitutional, petty offense rule appears in the text of the Fifth Amendment, which limits the right to grand jury indictment to persons charged with “a capital, or otherwise infamous crime.” To the extent that these rights limitations are determined by judicial policy analysis rather than history or constitutional text, the limitations would be more coherent and consistent if the Court more explicitly examined the ends-beneﬁts proportionality principles that underlie its decisions and explained why the same principle produces different limitations, depending on the particular right.

2. Offense-Severity Limits on Subconstitutional Procedural Rights Similar offense-severity distinctions are found in state statutes and rules of criminal procedure, granting offenders charged with less serious violations fewer rights of appointed counsel, preliminary hearing review, defense discovery, jury trial, jury size, and time to ﬁle an appeal.70 As with constitutional rights limitations, the offense-severity limits on subconstitutional rights would be more coherent and consistent if rule drafters explicitly examined the underlying ends-proportionality principles.

6

CRIMINAL LAW Implicit Proportionality Limitations on Criminal Liability

numerous constitutional and subconstitutional limitations on criminal liability embody one or more of the proportionality principles we have identiﬁed. Limiting retributive liability principles (no liability without individual culpability) underlie constitutional rules that prohibit punishment without fair notice that the conduct is criminal. Limiting retributive principles are also implicit in the prohibition of “status” crimes (e.g., being an addict). Such principles, as well as means and/or ends proportionality, may also underlie the requirement of proof beyond a reasonable doubt. Proportionality principles are also reﬂected in numerous subconstitutional limitations on criminal liability. Limiting retributive principles and perhaps also ends or means proportionality underlie the rule of lenity and the abandonment of judicial power to recognize common law crimes (but not common law defenses). Rules barring or discouraging strict liability are based on limiting retributive principles and perhaps also ends or means proportionality. “Voluntary act” requirements reﬂect retributive limits on liability. Self-defense and other justiﬁcation defenses incorporate independent means- and ends-proportionality principles. Afﬁrmative defenses of excuse and partial excuse primarily embody limiting retributive principles. The scaling of offense severity according to offender culpability

115

116

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

and harm reﬂects limiting retributive as well as ends-proportionality principles and in practice also means proportionality. The following discussion ﬁrst examines constitutionalized proportionality limits, then subconstitutional ones. We argue that much of the uncertainty and controversy surrounding some of these doctrines results from the failure to recognize and clearly articulate the application of underlying proportionality principles.

A. CONSTITUTIONAL LIMITATIONS ON CRIMINAL LIABILITY A variety of federal constitutional doctrines reﬂect implicit retributive and perhaps also ends- and/or means-proportionality limits. These limits have been recognized under varying constitutional provisions (most are based on due process, but some on the Eighth Amendment), and courts have rarely noted their similar underlying rationales.1

1. Fair-Notice Requirements Several constitutionalized limits on criminal liability are based in part on the idea that it is fundamentally unfair to impose the harsh penalties and stigma of the criminal law on persons who had no advance warning that their acts were criminal. The doctrines based on such “fair notice” concerns (sometimes expressed as “fair warning” or “legality” requirements) include the explicit textual prohibition of ex post facto statutes and other constitutional rules established in Supreme Court case law (e.g., the ban on retroactively applied judicial extensions of liability; the “void for vagueness” rule; the ban on prosecution following ofﬁcial assurances of legality; the constitutional prohibition on certain crimes of omission). In Bouie v. City of Columbia2 the Court held that unforeseeable and retroactive judicial extensions of liability pose the same fair-notice problems as the retroactive legislative enactments barred by the ex post facto clause. Under the Court’s void-for-vagueness doctrine, vague statutes have been struck down because they fail to provide sufﬁcient notice “to enable ordinary people to understand what conduct [the law] prohibits.”3 Conviction under statutes that approach but do not reach unconstitutional vagueness have been overturned when the defendants acted in reasonable reliance on ofﬁcial assurances or interpretations. For example, in Cox v. Louisiana4 the defendant was charged with picketing “near” a courthouse after being told by a sheriff and a mayor that he and other demonstrators could meet across the street. In Lambert v. California5 the Court relied on due process,

Criminal Law

117

fair-notice principles to reverse a conviction under a municipal felon registration law, holding that the defendant’s conduct was “wholly passive—mere failure to register”; unlike other registration laws and regulatory crimes of omission, violation of this law was “unaccompanied by any activity whatever” other than mere presence in the city. The Court therefore held that persons could not constitutionally be convicted under that law absent proof of knowledge of the duty to register or the probability of such knowledge. However, in what sense are criminal liability and punishment unfair in the cases covered by these doctrines? Fairness, like proportionality, requires a normative frame of reference, and courts have rarely related fair-notice rationales to purposes of punishment or any other normative principles. The simplest and most compelling explanation for these constitutional limits is the limiting retributive principle that criminal liability may not be imposed without a showing of individual culpability and that, where advance notice is lacking, the actor did not freely choose to violate the law and thus is not sufﬁciently culpable.6 As the Court said in Lambert, conduct should not be punished if it “would not be blameworthy in the average member of the community.”7 In some of these cases the charged acts might be deemed immoral for reasons unrelated to positive law; nevertheless, they are not immoral in a legal sense, and there is a constitutionally unacceptable risk of punishing persons who are morally, as well as legally, innocent. As discussed more fully in part B, one could also argue that criminal liability without fair notice violates utilitarian proportionality principles, but such arguments have not thus far been cited in Supreme Court and lower-court decisions that implement the constitutional limitations discussed earlier.

2. Status Crimes In Robinson v. California,8 the Supreme Court held that a California statute making it a crime to “be addicted to the use of narcotics” inﬂicted cruel and unusual punishment. The decision seems to have been based more on retributive than on utilitarian proportionality limits;9 even if it were cost effective to punish people for drug addiction, it is unfair because they cannot help having what may be a lifelong condition, even during periods of sobriety. The Court in Robinson focused on the defendant’s limited culpability, viewing addiction as an “illness which may be contracted innocently or involuntarily”;10 the Court compared the statute to one that criminalizes the condition of being “mentally ill, or a leper, or . . . afﬂicted with a venereal disease” or “having a common cold” and concluded that “[e]ven one day in prison would be a cruel and unusual punishment for [such a] ‘crime.’ ”11

118

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

Since much the same could be said for punishing the inevitable symptoms of drug addiction, some observers predicted that the Court would eventually adopt a constitutionalized “voluntary act” requirement that would prohibit punishment of addicts for the “symptoms” of possession and use of narcotics.12 However, this broad reading of Robinson was disavowed in Powell v. Texas,13 where the Court upheld the conviction of a chronic alcoholic for being found drunk in a public place. The Court rejected the defendant’s arguments that he could not stop himself from getting drunk and then going out or remaining in public and that punishing him for these acts amounted to punishing him for his disease of alcoholism. The plurality and two concurring opinions in Powell emphasized that the defendant was being punished not for a mere status or disease or even for the act of becoming drunk but rather for the act of being or remaining in public (while drunk). None of these opinions appeared concerned with whether Powell really had the ability to keep himself from going out or remaining in public once he became drunk. Powell thus suggested that the constitutional defect in Robinson was the punishment of mere status or propensity and that an act may constitutionally be punished even if it is involuntary. Nevertheless, ﬁve justices in Powell (the four dissenters plus Justice White, concurring) stated that Robinson prohibits conviction not just for a diseaselike status (e.g., drug addiction, chronic alcoholism) but also for the immediate and inevitable consequences of such a status (e.g., possessing drugs; being under the inﬂuence of drugs or alcohol; being homeless and under the inﬂuence in public).14 None of those justices is still on the Court; however, subsequent lower-court decisions have adopted a narrow extension of Robinson in holding that criminal liability may not be imposed on homeless persons for engaging in the necessary activities of life (eating, sleeping) while in public spaces.15 The Eighth Amendment analysis in these cases appears to be based on a limiting retributive principle that prohibits criminalization of an involuntary status and acts necessarily resulting from that status. An alternative basis given for some of these rulings is that the challenged enforcement policies unduly burdened the right of interstate travel and were neither narrowly tailored nor supported by a compelling state interest.16 (The means- and endsproportionality principles implicit in such strict scrutiny analysis are discussed in chapter 3.) It seems curious, however, that courts inclined to invoke such principles would apply them to the right to travel rather than the rights to life and liberty, which are more centrally implicated. One can certainly argue that criminal conviction of involuntarily homeless persons for engaging in necessary life activities violates ends and/or means proportionality; the inability of these persons to avoid such violations results in law enforcement beneﬁts that are minimal (violating ends proportionality) or nonexistent (adding no beneﬁt, thus violating means proportionality). (See further discussion of involuntary acts in part B.)

Criminal Law

119

Some states, in basing their decisions jointly or solely on state constitutional provisions, have recognized constitutional limits on strict and vicarious liability. These cases usually involve employers’ liability for their workers’ acts (e.g., selling liquor to minors), based solely on a defendant’s status as an employer, owner, or licensee.17 Most of the cases seem to be grounded in limiting retributive principles, but some employ a balancing test akin to ends proportionality and/or a necessity principle akin to means proportionality.18

3. The Requirement of Proof Beyond a Reasonable Doubt The due process requirement of proof beyond a reasonable doubt of all elements of the charged offense (and the closely related presumption of innocence principle) can be justiﬁed under limiting retributive liability principles, as well as alternative-means and perhaps also ends-beneﬁts proportionality. The reasonable doubt standard reﬂects a policy judgment that it is better to err on the side of ﬁnding no criminal liability—that too few convictions are better than too many and that, as Blackstone said, it is better that ten guilty people escape punishment than that one innocent person should be convicted and punished. The limiting retributive rationale for this rule is that it is more important to prevent undeserved liability than to ensure that all deserving offenders are punished.19 As for alternative-means proportionality, this principle states a preference for less intrusive measures provided they are equally effective. A strong version of that principle requires that the least intrusive measure be chosen unless it is shown to be less effective. Thus, all three principles—the reasonable doubt rule, the limiting retributive liability principle, and a strong version of alternative-means proportionality—express a preference for less intrusive measures and are more concerned about excessive criminal liability than insufﬁcient liability. The reasonable doubt rule might also draw support from ends-beneﬁts proportionality principles. In the case that constitutionalized this rule, In re Winship, the Court seemed concerned to demonstrate that the net beneﬁts are worthwhile even though the rule prevents the conviction of some guilty offenders:20 [U]se of the reasonable-doubt standard is indispensable to command the respect and conﬁdence of the community in applications of the criminal law. It is critical that the moral force of the criminal law not be diluted by a standard of proof that leaves people in doubt whether innocent men are being condemned. It is also important in our free society that every individual going about his ordinary affairs have conﬁdence that his government cannot adjudge him guilty of a criminal offense without convincing a proper factﬁnder of his guilt with utmost certainty.

120

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

4. Summary The constitutional fair-notice, status-crimes, and reasonable-doubt limitations on the imposition of criminal liability all seem to be based primarily on retributive principles, but utilitarian ends- and means-proportionality principles may also serve to justify some of these limitations. Courts should make these underlying normative principles explicit instead of speaking in vague terms about “fairness.” An express recognition of limiting retributive limits would promote more consistent application of these principles not only in this context but also for other constitutional doctrines that, expressly or implicitly, invoke notions of blame and culpability—in particular, doctrines that limit punitive damages (chapter 4) and forfeitures and sentencing (chapter 7). To the extent that utilitarian proportionality principles apply to constitutional liability-limiting rules, the role of these principles should be clariﬁed and related to doctrines discussed throughout this book, incorporating similar constitutionalized ends- and means-proportionality limits. A clearer statement of underlying normative principles might also help to explain why criminal liability is more closely limited in some ways than in others. For instance, why are constitutionalized “cognitive” liability requirements seemingly much stricter than “volitional” requirements? In contrast to the numerous fair-notice rules discussed earlier, the Supreme Court strongly resisted volitional limits in Powell v. Texas, and lower courts have only occasionally recognized them. Similarly, whether constitutionalized liability limits are retributive or utilitarian, courts should explain why similarly strict limits are not placed on excessive punishment once an offender has been found liable (see chapter 7). The liabilityversus-punishment distinction cannot be based simply on the value of protecting totally innocent persons; the reasonable doubt rule (and to a lesser extent, all of the constitutional liability rules discussed previously) also apply to those who are clearly guilty of one or more crimes, thereby protecting them from being found liable for additional or more serious crimes.

B. SUBCONSTITUTIONAL LIMITS ON CRIMINAL LIABILITY Many examples of implicit and occasionally explicit limiting retributive and endsand/or means-proportionality principles appear in subconstitutional limits on criminal liability and in scholarly writings on criminal law jurisprudence. One of the most inﬂuential scholars of criminal law jurisprudence, H. L. A. Hart, distinguished between the “general justifying aim” of the criminal law, which he viewed as utilitarian (primarily efﬁcient crime control), and the principles applied to the distribution of punishment in individual cases, which are retributive as well as

Criminal Law

121

utilitarian.21 Hart’s retributive principles of distribution applied both to liability issues (who may be punished) and to severity issues (how hard they may be punished; the latter issue is discussed in chapter 7). On the liability question Hart stipulated that only those who are blameworthy may be punished. This is a form of limiting retributivism, although Hart did not employ that term. Another leading scholar, Herbert Packer, similarly insisted that a ﬁnding of moral responsibility (blameworthiness or culpability) is a necessary (but not sufﬁcient) condition for criminal liability and punishment.22 As shown below, Hart’s and Packer’s views ﬁnd broad support in state and federal criminal statutes and cases.

1. Fair-Notice Rules The rule of lenity (also known as the rule that criminal statutes are strictly construed in favor of defendants) is in some respects a subconstitutional version of the fair-notice doctrines discussed in part A.23 The limiting retributive rationale for the rule is that, if there are multiple interpretations of the scope of a statute, it would be unfair to adopt a broader interpretation than the defendant may have reasonably anticipated—his culpability is lessened or eliminated if he could not have known that his acts would later be determined to fall within the criminal prohibition. The rule of lenity may also ﬁnd support in ends- and/or meansproportionality principles; if it is uncertain whether broader liability will provide beneﬁts sufﬁcient to justify the greater costs and burdens (ends proportionality) or indeed any additional beneﬁts (means proportionality), courts should err on the side of imposing too little rather than too much liability. A commonly cited alternative rationale for the rule of lenity is based more on notions of the separation of powers and legislative primacy: Legislatures, not courts, should decide when criminal liability will be expanded because this is essentially a moral judgment, and legislators are more directly politically accountable24 (they may also have greater access to the comprehensive data and policy analysis needed to make wise criminalization decisions). However, one could make the same arguments in favor of a legislative monopoly on decisions to contract the scope of criminal liability, yet the rule of lenity not only does not apply to such decisions but actually encourages courts to make them. Thus, the bias in favor of narrower rather than broader criminal liability must be based on other grounds, and the retributive and utilitarian proportionality principles cited earlier seem to be the best choices. Similarly conﬂicting rationales appear to underlie the policy, which has been adopted in almost every U.S. state, of abolishing common law crimes and imposing liability only when offenses are declared and deﬁned by statute. Again, this

122

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

policy is potentially biased in favor of defendants since courts in most of these jurisdictions retain the authority to recognize or expand common law defenses.25 As with lenity, a preference for statutory over judicial creation and expansion of crimes can be justiﬁed under limiting retributive (fair-notice) principles, and perhaps also by utilitarian ends and means proportionality. Persons who could not have known their conduct would later be deemed criminal are less blameworthy, and they may also be less dangerous and in need of deterrence and restraint; moreover, punishing such persons is unlikely to deter others (it is difﬁcult to make an effective example of someone who did not choose to do wrong). Punishment that adds no additional crime-control beneﬁt is unnecessary, thus violating means proportionality. If only meager added beneﬁts result, they may be outweighed by the stigma and harshness of punishment, thereby violating ends proportionality.

2. Limits on Strict Liability As noted earlier, many leading scholars have insisted that the imposition of criminal liability requires proof of culpability (moral blameworthiness). Thus, these scholars have objected to criminal laws that expressly or by interpretation impose strict (or “absolute”) liability by eliminating, for one or more major elements of the crime, any requirement of proof of criminal purpose, knowledge, or other culpable mental state. The drafters of the American Law Institute’s Model Penal Code likewise rejected strict liability for nonpetty offenses. As the commentary to the code explains:26 [I]f practical enforcement precludes litigation of the culpability of alleged deviation from legal requirements, the enforcers cannot rightly demand the use of penal sanctions for the purpose. Crime does and should mean condemnation and no court should have to pass that judgment unless it can declare that the defendant’s act was culpable. This is too fundamental to be compromised. The law goes far enough if it permits the imposition of a monetary penalty in cases where strict liability has been imposed. Accordingly, the code speciﬁed that, except for petty infractions punishable by only a ﬁne or civil penalty, the prosecution must prove at least criminal negligence with respect to each material element of the crime.27 The insistence that all those convicted be culpable suggests a grounding in limiting retributive principles,28 but the requirement to prove at least criminal negligence can also be justiﬁed on utilitarian proportionality grounds. The ends-proportionality argument is that the crime-control purposes of punishment are not served when the actor is not even negligent (because the person is not

Criminal Law

123

sufﬁciently dangerous or deterrable to justify the costs and burdens of criminal conviction); moreover, punishing such persons diminishes the stigma of criminal penalties generally, thus reducing the behavior-shaping and crime-control beneﬁts of convictions obtained in other cases.29 The means-proportionality argument is that conviction for a strict liability crime adds no net crime-control beneﬁt that would not already be achieved by enforcement of other (non-strict-liability) criminal laws or by the use of measures outside of the criminal law. Some states have enacted the American Law Institute’s Model Penal Code approach described earlier, and a few courts have found that strict liability violates state constitutional provisions.30 In other states strict liability for jailable offenses is not absolutely forbidden, but courts presume a legislative intent to require proof of a culpable mental state unless the legislature has stated otherwise. For example, a New York statute31 provides that at least criminal negligence is required for all material elements of all offenses (including trafﬁc offenses) unless the statute clearly indicates a legislative intent to impose strict liability. In Minnesota, a presumption against strict liability was created by the courts rather than by statute.32 Also, in a widely cited 1952 case, Morrissette v. United States,33 the U.S. Supreme Court held that, for crimes derived from common law larceny, courts should presume a legislative choice to carry over the common law element of intent to steal another’s property (negated in Morrissette by the defendant’s belief that the property he took had been abandoned), except where Congress has made clear its desire to eliminate the intent requirement. In a number of later cases the Court read a requirement of proof of mental culpability into federal criminal statutes when it cited the presumption against strict liability, concerns about statutory overbreadth, and/or vague statutory language. In United States v. U.S. Gypsum Co.,34 the Court stated that crimes with no intent element have a “generally disfavored status” and held that a criminal antitrust violation requires a showing that the defendant at least acted knowingly. In Liparota v. United States,35 the Court held that, in criminal prosecutions under the federal food stamp program, the government must prove that the defendant knew his actions were unauthorized or illegal. It noted that without this requirement the statute would “criminalize a broad range of apparently innocent conduct.”36 Similar concerns with overbreadth and lack of fair notice led the Court to interpret the requirement of willfulness in complex federal regulatory statutes to mean that the defendant must be shown to have known he was acting illegally.37 In Staples v. United States,38 the Court held that a statute prohibiting possession of an unregistered machine gun required proof, as an element of the crime, that the defendant knew the gun could ﬁre automatically. In addition, U.S. v. X-Citement Video39 held that, although the term “knowingly” would grammatically apply only to the element of transporting child pornography, the statute

124

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

should be construed to apply that mental culpability requirement to all elements of the crime, including the age of the depicted performers and the sexually explicit nature of the material. In the aggregate, these cases imply a general presumption of legislative intent not to impose strict liability for serious federal offenses.40

3. The Voluntary Act Requirement Although the Supreme Court has declined to recognize a constitutionalized voluntary act requirement (see discussion of status crimes in part A), such a requirement is found in most state laws and in the American Law Institute’s Model Penal Code.41 This requirement is based on a limiting retributive theory:42 A person is not morally blameworthy for a bodily movement that is the product of epilepsy, sleep, unconsciousness, or other unwilled process. (However, as illustrated by the famous case of People v. Decina,43 such a person can sometimes be blamed for a prior voluntary and culpable act: in Decina, an epileptic’s decision to drive a car knowing that a seizure could occur at any time.)

4. Afﬁrmative Defenses Many traditional afﬁrmative defenses of justiﬁcation (the defendant’s criminal act was “the right thing to do” under the circumstances) incorporate both means- and ends-proportionality principles, and a violation of either one results in denial of a complete defense.44 In the law of self-defense, for example, alternative-means proportionality (usually referred to as the principle of necessity) requires that defensive force not be excessive relative to available alternative defensive measures. For instance, a person who is attacked cannot kill to avoid being killed if the threat could also be avoided by nondeadly means such as superior strength (or, in many jurisdictions, safe retreat from the threat). Ends-beneﬁts proportionality in selfdefense (which is often explicitly referred to as a “proportionality” rule)45 requires that defensive force must not be excessive relative to the threatened harm; for example, one cannot kill an attacker to avoid receiving a minor battery even if the killing is “necessary” (because no other effective means of prevention is available). Similar proportionality principles apply under the defense of necessity (or choice of evils): The criminal act must reasonably appear likely to prevent a greater harm (ends proportionality); in addition, the act must appear to be necessary (means proportionality) in that a less serious crime or a noncriminal act would not prevent the threatened harm.46 The ends- and means-proportionality principles in justiﬁcation defenses are used to assess whether the defendant’s acts were excessive. Thus, in this context,

Criminal Law

125

as was true of several criminal procedure rules discussed in chapter 5, a ﬁnding of ends or means disproportionality favors the government, not the citizen. However, implicit ends-proportionality principles are also favoring defendants here; they help to explain why justiﬁcation defenses are and should be recognized. For example, denying the general necessity defense and thus holding defendants liable whose criminal acts avoided greater harms that could not otherwise be prevented would violate ends proportionality because, along with the costs and burdens of obtaining convictions, criminal liability would discourage acts that produce more socially desirable results. In some cases of justiﬁcation, however, it is not so clear that the prohibited act has avoided greater harm; in those instances, the justiﬁcation defense must also rely on limiting retributive proportionality—the defendant is not sufﬁciently blameworthy. For example, when an innocent (but well-armed) nonaggressor is attacked by a drunken mob and kills them one by one as each approaches, it is difﬁcult to say that the large number of resulting deaths is a lesser harm even if one discounts the value of the attackers’ lives because of their unprovoked aggression. Nevertheless, we can still conclude that the shooter is not culpable (his right to defend himself is absolute,47 and/or his resort to deadly force was not even criminally negligent), and he therefore should not be held liable. Other traditional criminal law doctrines provide a complete or partial defense to criminal liability based on a theory of excuse. These defenses include duress, insanity, involuntary intoxication, infancy, and the entrapment defense (at least under the subjective, “no-predisposition” standard used in most jurisdictions), as well as the partial excuses (reducing murder to manslaughter) of provocation and unreasonable mistake (also known as “imperfect” self-defense).48 In the cases where such defenses apply, the defendant has “done the wrong thing” (unlike the justiﬁcation defenses discussed earlier), but due to the defendant’s disturbed mental state and/or coercive external circumstances, the defendant is not viewed as criminally blameworthy (or, for partial excuses, not fully blameworthy).49 The focus on reduced culpability in excuse defenses implies that the primary rationale for them is a theory of limiting retributivism. However, in some of these cases one could argue that utilitarian proportionality also provides support for the defense: If such persons are not very deterrable and not generally dangerous, the costs and burdens of convicting them (or of convicting them of a more serious crime) outweigh the crime-control beneﬁts (ends proportionality). If such beneﬁts are deemed to be nonexistent, so that non-criminal-law measures or lesser criminal penalties will achieve equally good results, then means-proportionality principles support the use of these alternatives. For example, if physical restraint (incapacitation) of dangerous, insane offenders is the only beneﬁt of convicting and imprisoning them, this can be achieved just as well by the alternative of civil commitment.

126

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

5. Scaling of Crime Severity and Penalty Ranges In all contemporary American jurisdictions the structures of criminal statutes and codes deﬁning criminal liability reﬂect, albeit crudely, both retributive and utilitarian proportionality principles.50 Crimes are grouped into felony, misdemeanor, and petty offense classiﬁcations and sometimes also by degrees within each of these broad classes. These crime classiﬁcations and assigned penalty ranges (as well as the degree of social stigma and the other collateral consequences of conviction that ﬂow from these statutory provisions) clearly reﬂect a scaling of offense seriousness based on retributive values (harms caused or risked, and culpability as measured by intent or other mental states). However, for most crimes as a matter of formal law and for all crimes as a matter of law enforcement practice, these rules mainly impose upper limits on the offense levels and sanctions imposed; mandatory minimum penalties, though common, are still the exception; prosecutorial charging decisions are unregulated by law; and charging leniency is common, especially in the plea bargains that determine most convictions. Statutory crime classiﬁcations thus embody a limiting retributive theory, which, like the reasonable doubt rule, gives greater weight to avoiding excessive severity than excessive leniency. Stronger limits on severity than on leniency may also reﬂect meansproportionality principles—a preference for less severe measures unless a need for greater severity is shown. Penalties and collateral consequences that are scaled in proportion to social harms are also consistent with ends-beneﬁts proportionality principles. The degrees of social harm that help to determine crime classiﬁcations serve as a proxy for the beneﬁts of punishment, and the penalty range and collateral consequences invoked by each crime class are a proxy for punishment costs and burdens. Punishment costs and burdens are thus scaled to the likely beneﬁts; in addition, would-be offenders are given a statutory incentive to “prefer” less harmful offenses. The details of these retributive and utilitarian theories are examined in chapter 7, part F, which discusses proportionality in writings on sentencing theory. The fact that similar arguments apply to offense classiﬁcations, as well as the severity of sentences imposed, underscores a point made in part A: There can be no sharp distinction between theories of criminal liability and criminal punishment—the same principles justify and limit severity in both contexts.

6. Summary The implicit rationales for the subconstitutional liability rules discussed here appear to be primarily retributive, although one could also cite utilitarian endsand means-proportionality principles in support of most of these rules. Courts,

Criminal Law

127

legislatures, and other public ofﬁcials should explicitly recognize the proportionality principles that underlie each rule in order to improve the coherence, consistency, and fairness of law making, law enforcement, and law interpretation by these ofﬁcials. For example, recognition of the primary role of retributive limits on criminal liability might lead to the conclusion that, contrary to the Model Penal Code and the law in most states, a defense of excusing necessity should be recognized for cases of coercive nonhuman threats; such a defense should be parallel with and at least as broad as the duress defense provided for crimes coerced by human threat. The classic example is a driver whose brakes unexpectedly fail and who drives straight ahead despite the high probability of killing an innocent person in the road rather than steering off the road and over a cliff, which has a high probability of causing his own death.51 Such a person is simply not culpable and, under broadly recognized limiting retributive proportionality principles, he should not be held criminally liable. Where multiple proportionality principles apply to an issue of criminal liability, we believe they should be applied independently—the retributive, means-, and ends-proportionality concepts each guard against distinct forms of excess, and criminal liability should not be imposed in violation of any of them. However, we also believe that retributive proportionality is the most important of these principles and that different branches of government should apply the principles differently. Since the broadest consensus appears to support the importance of limiting retributive values (they are implicit in almost all of the rules discussed here, as well as those in part A) and because a violation of such values constitutes the essence of unfairness and governmental oppression, retributive limits on criminal liability should be viewed as primary; they should be the ﬁrst principles to be examined in each case, and such limits should trump utilitarian arguments for a broader scope of liability. Legislatures should try never to impose criminal liability without sufﬁcient culpability as measured by the broadly adopted rules we have discussed, namely, at least criminally negligent, voluntary conduct as to both crime elements and afﬁrmative defenses, after fair notice of criminal prohibition, and with the degree of liability not exceeding the degree of culpability. Where such culpability exists, legislatures should then aim to respect both means and ends proportionality; the extent of liability (and costs of enforcement) should be proportionate to the likely public beneﬁts and not excessive when compared to noncriminal measures or a lesser degree of criminal liability. Furthermore, since assessments of culpability and the beneﬁts of liability are uncertain, the legislature should, if in doubt, err on the side of imposing too little rather than too much liability—just as courts and juries do when they apply the reasonable doubt standard and the rule of lenity.

128

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

In interpreting criminal laws, judicial and executive branch ofﬁcials should adopt a strong presumption that the legislature does not intend to impose liability without sufﬁcient culpability. Where sufﬁcient culpability appears to exist or the legislature has made clear its intent to not require it, these ofﬁcials should also presume that the legislature does not intend to impose liability in circumstances where it would violate ends or means proportionality. However, this should be a weaker (easier to overcome) presumption than that with regard to required culpability, and it should accord more deference to legislative decisions to criminalize certain conduct. Greater deference to legislative judgments in making utilitarian assessments is appropriate in light of the lesser degree of consensus about utilitarian limits on criminal liability and also because of important differences in the nature and application of retributive and utilitarian proportionality concepts. As noted earlier, retributive limits are matters of fairness and the limits of coercive state power, and courts have an important role to play in ensuring fairness and safeguarding individual liberty. Furthermore, utilitarian assessments often require collection and analysis of complex empirical data on the likely costs and beneﬁts of proposed and alternative measures, and legislatures are better equipped to do this. Finally, when courts and other ofﬁcials are uncertain whether liability in a given case would violate retributive, ends, and/or means proportionality, they should— as they do under the reasonable doubt standard and the rule of lenity—err on the side of imposing too little rather than too much liability.

7

PUNISHMENT Explicit and Implicit Proportionality Limits on Sanction Severity

this chapter examines proportionality principles found in constitutional and subconstitutional sentencing law and theory. It also discusses constitutional severity limits on the treatment of prisoners and on the quasi-criminal penalty of civil or criminal forfeiture. When courts and scholars explicitly invoke proportionality in these contexts, the usual reference is to retributive punishment goals. However, utilitarian philosophers also strongly advocate proportionality in punishment, using both ends-beneﬁts and alternative-means concepts. Moreover, the court opinions discussed here reveal many implicit examples of these two utilitarian principles. In each topic area we ﬁrst identify the explicit and implicit proportionality principles that courts and/or writers apply and then explain how policy analysis in these contexts would be improved by more precise deﬁnition and application of these principles. Parts A through D examine Eighth Amendment limitations on the death penalty, the length of prison terms, the treatment of prisoners, and the use of civil and criminal forfeiture. Part E surveys state constitutional provisions and cases that limit excessive punishment. Part F examines proportionality principles found in subconstitutional sentencing theory, law, and practice, as well as in foreign sentencing laws. The most important ﬁnding that emerges from a review of these topics is that the Supreme Court applies very different proportionality standards in various 129

130

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

contexts. Death penalty eligibility and the permissible size of ﬁnes and forfeitures are subject to limiting retributive constraints that appear to trump crime-control goals. As earlier chapters have explained, independent, constitutionally required retributive limits have also been imposed on punitive damages (chapter 4) and on ﬁndings of criminal liability (chapter 6). But the length of prison terms is not similarly constrained. One could argue, of course, that important differences between these contexts justify various levels of protection; however, these differences cut in both directions.1 Moreover, the Court’s constitutional standards governing lengthy prison sentences are incoherent and are not tied to any clear meaning of proportionality. Another set of standards, poorly integrated with other branches of the Court’s Eighth Amendment jurisprudence, applies to the treatment of prisoners. State constitutions are sometimes used to grant additional protection, and in some states proportionality standards are quite different from those based on the Eighth Amendment. But in general, state courts have been cautious, even when broader state protection could be justiﬁed by textual differences between state and federal guarantees. In all of these contexts, one can ﬁnd many examples of principles akin to limiting retributive, ends, and/or means proportionality, but these principles have rarely been clearly articulated. In contrast, all three proportionality principles ﬁnd strong support in scholarly writings on sentencing theory, in the structure and sometimes the explicit rationales of U.S. sentencing laws, and in sentencing laws and decisions in foreign countries. These well-developed subconstitutional principles corroborate the poorly articulated and weakly applied versions found in constitutional decisions. Courts should make explicit use of these proportionality principles when called upon to interpret Eighth Amendment standards and particularly when they interpret state constitutional provisions that limit sanction severity. We urge lawyers, judges, and academics to resist the assumption that legal standards that prescribe the constitutional limits on punishments are settled and unlikely to change. To facilitate open-mindedness in these matters—on federal, as well as state, constitutional standards and of course also with respect to subconstitutional sanction issues—we examine the Court’s decisions in some detail, including wellconsidered dissenting views. Since many of the U.S. constitutional doctrines discussed here are based on interpretations of the Eighth Amendment that are of quite recent vintage (beginning with death penalty cases in the 1970s), we ﬁrst provide a brief review of the Court’s earlier pronouncements on the scope and meaning of that amendment. Aside from a few nineteenth-century decisions that upheld capital punishment,2 the ﬁrst major Eighth Amendment case in the Supreme Court was Weems v. United States (1910).3 That case involved a Philippine penalty of ﬁfteen years of hard labor

Punishment

131

in chains, combined with permanent loss of civil rights. Although the sentence was invalidated as much for its unusual nature (relative to common law traditions) as for its disproportionality to the conviction offense (falsifying a public record), Weems explicitly stated that the Eighth Amendment requires punishments to be “graduated and proportioned to offense.”4 In Trop v. Dulles (1958),5 a four-judge plurality applied Eighth Amendment proportionality limits to the penalty of divestment of citizenship, noting that “the words of the Amendment are not precise, and . . . their scope is not static. The Amendment must draw its meaning from the evolving standards of decency that mark the progress of a maturing society.” Finally, two cases decided in the 1960s applied the Eighth Amendment to criminalization decisions rather than sentencing. These cases, Robinson v. California6 and Powell v. Texas7 are discussed in chapter 6, part A. They have rarely been cited in the Court’s other Eighth Amendment cases, whereas the “evolving standards” concept from Trop and the central focus on sentencing proportionality ﬁrst identiﬁed in Weems have frequently been cited.

A. EIGHTH AMENDMENT LIMITS ON DEATH PENALTY ELIGIBILITY AND EXECUTION METHODS 1. Eligibility for the Death Penalty In Coker v. Georgia8 the Supreme Court stated that the Eighth Amendment prohibits “not only those punishments that are ‘barbaric’ but also those that are ‘excessive’ in relation to the crime committed. . . . A punishment is ‘excessive’ and unconstitutional if it (1) makes no measurable contribution to acceptable goals of punishment and hence is nothing more than the purposeless and needless imposition of pain and suffering; or (2) is grossly out of proportion to the severity of the crime.” Although the Coker opinion adds that a punishment might be held unconstitutional on either ground, the Court usually relies on both. It has, however, occasionally ruled out death solely on the second ground (Coker is an example). As to the ﬁrst standard, the Court has repeatedly said that the two recognized goals served by the death penalty are retribution and deterrence of capital crimes.9 The punishment theory underlying the second standard (gross disproportionality) must be retribution since the Court’s cases focus on harm and culpability (these traditional retributive factors are discussed further in part F).10 The ﬁrst Coker standard (no measurable contribution to acceptable punishment goals) is ambiguous. This standard might invoke only the minimum constitutional requirement of a rational basis for state action.11 In the United States, this would not usually be thought of as a question of proportionality,

132

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

although it is in Europe.12 In any case, given the number of cases in which the Court has struck down penalties based in part on the ﬁrst Coker standard and the importance the Court clearly attaches to Eighth Amendment review of death penalties, the Court must intend a somewhat stricter standard than rational basis. Alternatively, the ﬁrst standard could implicitly incorporate means- and/or ends-proportionality concepts. The means-proportionality argument is that the death penalty is unnecessary and therefore excessive relative to the next-mostsevere alternative penalty (life in prison, with or without parole) whenever death adds no additional deterrent or other social beneﬁts.13 This interpretation ﬁnds some support in the Court’s earliest death penalty standards14 and in its decisions invalidating the death penalty for certain felony accomplices, persons with mental retardation, and offenders under eighteen years of age at the time of the crime.15 In each of these cases, although the Court expressed doubt that the speciﬁed group of offenders was at all deterred by the threat of capital punishment, it did not assert that there was no deterrent effect (which would be a no-rationalbasis argument). If the Court meant to concede the possibility of some deterrent effect, its decisions could be justiﬁed by a means-proportionality argument—the minimal deterrence these offenders would experience from the threat of receiving the death penalty is no greater than that provided by the threat of a lesser penalty (in particular, life imprisonment). In some cases, the Court has come close to explicitly endorsing this alternative-means rationale. In Roper v. Simmons the Court said that, “[t]o the extent the juvenile death penalty might have residual deterrent effect, it is worth noting that the punishment of life imprisonment without the possibility of parole is itself a severe sanction, in particular for a young person.”16 The ends-proportionality version of the ﬁrst Coker standard would be that the death penalty—a sanction unique in its severity—is excessive relative to its meager deterrent beneﬁts. But since no one expects such offenders to escape severe sanctions, the real ends-beneﬁts issue is whether the added deterrent beneﬁts of execution, compared to life imprisonment, justify the added severity. This theory ﬁnds little support in death penalty cases, however, and it also conﬂicts with the speciﬁc terms of the ﬁrst Coker standard—ends-proportionality analysis would not ask whether a penalty makes “no measurable contribution” to acceptable punishment goals but rather whether it makes an insufﬁcient contribution. The Court’s somewhat amorphous and always controversial death penalty eligibility jurisprudence would greatly beneﬁt from more precise proportionality analysis. The Court ought to conﬁrm and explicitly state that the second Coker

Punishment

133

standard is based on limiting retributive principles, and it should specify the retributive factors that are constitutionally relevant. The Court should also clarify the theory or theories underlying the ﬁrst Coker standard. Under a theory of alternative-means proportionality, the death penalty would be unconstitutional where it adds no beneﬁt (relative to constitutionally recognized punishment purposes) in comparison with life imprisonment. An ends-proportionality theory would assume that capital punishment adds some beneﬁt and would ask whether that beneﬁt justiﬁes the added sanction severity.

2. Execution Methods In recent years there have been numerous constitutional challenges to the procedures used to carry out the most common method of execution, lethal injection.17 The principle objection to these procedures is that the three drugs that are almost universally employed, and the procedures used to inject them, risk causing severe pain to offenders who are still conscious. In evaluating this objection, courts appear to assume that the Eighth Amendment categorically prohibits modern execution methods known to involve extreme pain (just as it prohibits painful ancient methods such as burning at the stake) without regard to the offender’s desert, net beneﬁts achieved, or possible alternative ways of causing death—such methods are banned simply because it is wrong to ever treat a person in a barbaric way. Some courts have further assumed that the Eighth Amendment also bars methods that involve a risk of inﬂicting severe pain that is both substantial and unnecessary in light of feasible modiﬁcations of injection procedures.18 The prohibition of avoidable risk of severe pain is a form of meansproportionality analysis that is consistent with the “purposeless and needless” language of Coker v. Georgia and that also ﬁnds support in the small number of Supreme Court decisions involving execution methods19 In Baze v. Rees20 the Supreme Court upheld Kentucky’s use of the threedrug procedure. However, ﬁve of the seven opinions (written or joined by seven of the nine justices) agreed that, at least under some circumstances, the Eighth Amendment bans procedures involving a risk of substantial and unnecessary pain. The least protective version of this test is contained in Justice Roberts’s plurality opinion, joined by Justices Kennedy and Alito; that test would invalidate a method of execution if the state, “without a legitimate penological justiﬁcation,” refused to adopt an alternative procedure that is shown to be “feasible, readily implemented, and in fact [able to] signiﬁcantly reduce a substantial risk of severe pain.”21

134

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

B. EIGHTH AMENDMENT LIMITS ON THE DURATION OF PRISON TERMS Proportionality principles have been applied, but very poorly deﬁned, in the Supreme Court’s cases evaluating lengthy prison sentences. A three-factor test announced in Solem v. Helm22 and still at least loosely applied by a majority of the Court directs courts to (1) compare the sentence to the gravity of the offense and then to compare (2) sentences imposed for other crimes in the same jurisdiction and (3) sentences imposed for the same crime in other jurisdictions. The Solem Court’s analysis of the ﬁrst factor clearly incorporated limiting retributive principles, and those principles, as well as means and ends proportionality, may be implicit in the second and third factors. However, the Court needs to more clearly explain what kinds of proportionality each factor measures. It should also clarify the modiﬁcations it has made to the Solem standards in later cases. The remainder of this part ﬁrst summarizes the Court’s prison-duration cases, including those decided before Solem. It then reviews the explicit and implicit proportionality principles applied in these cases and discusses the ways in which the Court’s application of these principles would be improved by more explicit and precise application of the analytic categories this book describes.

1. A Review of the Court’s Prison Duration Cases Since 1980 the Supreme Court has decided six cases in which the duration of a prison sentence was attacked on Eighth Amendment grounds. All six cases were 5–4 decisions in form or substance (the concurring justice in Hutto v. Davis, infra, agreed with the three dissenters but felt bound by precedent). In only one of these cases did the Court rule in favor of the offender. In Rummel v. Estelle,23 the Court upheld a life sentence with parole eligibility after ten to twelve years24 under a Texas recidivist (three-strikes) statute. Rummel’s criminal record consisted of three nonviolent property crimes. His most recent offense was obtaining money (about $121) by false pretenses (failing to honor his promise to repair an air conditioner after accepting payment for the job). His two earlier convictions involved fraudulent use of a credit card and passing a forged check; the total property loss for all three crimes was $229. Justice Rehnquist’s majority opinion asserted that the Court’s death penalty cases applying proportionality principles “are of limited assistance” in deciding a case like Rummel “[b]ecause a sentence of death differs in kind from any sentence of imprisonment, no matter how long.”25 Justice Rehnquist also stated that Eighth Amendment decisions “should not be, or appear to be, merely the subjective views of individual

Punishment

135

Justices” and “should be informed by objective factors to the maximum possible extent.”26 He concluded that any distinctions between prison terms of different durations “are indeed ‘subjective,’ and therefore properly within the province of legislatures, not courts,”27 thus implying that the Eighth Amendment imposes almost no proportionality limits on lengthy prison sentences. In an opinion by Justice Powell, the four dissenting justices argued that Rummel’s sentence should be invalidated under a version of the three-pronged proportionality standard adopted three years later in Solem v. Helm. Justice Powell did not discuss how proportionality analysis relates to sentencing purposes, but he brieﬂy invoked a concept akin to means proportionality, noting that the state of Texas “has not attempted to justify the sentence as necessary either to deter other persons or to isolate a potentially violent individual.”28 Two years later, in Hutto v. Davis,29 the Court again seemed to recognize few if any Eighth Amendment limits on prison terms. The defendant had been given a sentence of forty years (two consecutive twenty-year terms) and a $20,000 ﬁne for two drug offenses (possession with intent to distribute and distribution) involving a total of about nine ounces of marijuana. (There was no indication in any of the Supreme Court or lower court opinions as to when Davis would have become eligible for parole.) The trial judge made the terms consecutive because Davis had previously been convicted of selling LSD, and the current offenses were committed while he was on bail pending appeal from that conviction. However, there were also mitigating circumstances: The record included a letter from the prosecutor, agreeing that the forty-year sentence was a “gross injustice” in light of much lighter sentences given other drug offenders and pointing out that subsequent legislation had reduced the maximum penalty for Davis’s offenses from forty to ten years.30 In a per curiam opinion, the Court afﬁrmed Davis’s sentence, relying on Rummel. The Court speciﬁcally disapproved of a four-factor test applied by the lower court, based on the Fourth Circuit’s decision in Hart v. Coiner.31 Those four factors, which were quite similar to the three-factor test later adopted by the Court in Solem, infra, included (1) the nature of the conviction offense, especially whether it involved violence; (2) the legislative purposes underlying the sentence imposed and whether they could be achieved through a signiﬁcantly less severe penalty; (3) the punishment given similar offenders in other states; and (4) punishments given to other offenders in the sentencing state. The principal difference between the Hart and Solem standards was the second Hart factor, which incorporates alternative-means proportionality principles. Solem v. Helm,32 decided one year after Hutto, was the ﬁrst case in which the Supreme Court attempted to deﬁne what makes a lengthy prison term unconstitutional. It remains the only case in which the Court has found such a sentence to be in violation of the Eighth Amendment. Jerry Helm received a sentence of life

136

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

without possibility of parole under a South Dakota “four-strikes” recidivist statute. He actually had six prior felony convictions—three for third-degree burglary and one each for obtaining money under false pretenses, grand larceny, and felony (third-offense) drunk driving. His most recent (seventh) felony offense was issuing a no-account check for $100. Justice Powell’s majority opinion in Solem traced the history of proportionality rules, beginning with Magna Carta provisions that required ﬁnes to be graded according to offense seriousness. Powell concluded that the proportionality principle is well established in Anglo-American law and in the Court’s prior cases. Moreover, he maintained, neither the history nor the language of the Eighth Amendment suggests any distinction between types of punishments—all of the amendment’s clauses (bail, ﬁnes, cruel and unusual punishments) forbid excessiveness, and “it would be anomalous indeed” if ﬁnes and the death penalty were subject to proportionality analysis but not the “intermediate punishment of imprisonment.”33 Powell conceded that death penalty cases are of limited value in assessing prison sentences; that reversals of such sentences on proportionality grounds will be “exceedingly rare”;34 that reviewing courts should grant substantial deference to legislative judgments; and that proportionality review “should be guided by objective factors.”35 Powell found three such factors in the Court’s prior cases: “First, we look to the gravity of the offense and the harshness of the penalty. . . . Second, it may be helpful to compare the sentences imposed on other criminals in the same jurisdiction. If more serious crimes are subject to the same penalty, or to less serious penalties, that is some indication that the punishment at issue may be excessive. . . . Third, courts may ﬁnd it useful to compare the sentences imposed for commission of the same crime in other jurisdictions.”36 As to the ﬁrst factor, Justice Powell explicitly rejected the Court’s earlier fears about judicial subjectivity. He argued that courts are competent to objectively assess degrees of offense gravity and punishment severity, and he noted that judges are required, in a variety of contexts, to draw similar lines along a continuum.37 He suggested that offense gravity should be assessed in terms of the harm caused or threatened to victims and society, as well as the offender’s culpability (including the defendant’s degree of intent (mens rea) and motives). The latter criteria are closely related to traditional elements of retributive punishment theory (discussed in part F). However, except for several brief comments,38 Justice Powell did not explicitly discuss sentencing purposes or explain how they are related to any of his three factors. Applying these criteria, Powell noted ﬁrst that Helm’s current and prior offenses were all minor and nonviolent and that his sentence was the most severe authorized by South Dakota at the time. Powell conceded that states are justiﬁed in punishing recidivists more severely but added in a footnote: “We must focus

Punishment

137

on the principal felony—the felony that triggers the life sentence—since Helm already has paid the penalty for each of his prior offenses.”39 As for the second factor listed earlier, Powell argued that Helm had been treated at least as severely as many South Dakota criminals who had committed much more serious crimes. Under the third factor, Powell concluded that Helm had been punished more severely than he would have been in any other state. Seven years later, in Harmelin v. Michigan,40 the Court modiﬁed the Solem standards and upheld a mandatory sentence of life without parole imposed on a ﬁrst offender convicted of possessing 672 grams of cocaine.41 Harmelin contested both the severity of his sentence and its mandatory nature. Five justices voted to uphold the sentence in two opinions written by Justices Scalia and Kennedy. Most of Justice Scalia’s opinion for the Court was joined only by Justice Rehnquist. Scalia argued that Solem was wrongly decided—that the Eighth Amendment contains no proportionality guarantee and that proportionality review is inherently subjective and too narrowly tied to retributive punishment theory, involves judgments best left to the legislature, and is inconsistent with federalism. Part IV of Scalia’s opinion, joined by Justices Rehnquist, O’Connor, Kennedy, and Souter, concluded that mandatory penalties, even severe ones, “may be cruel, but they are not unusual in the constitutional sense, having been employed in various forms throughout our Nation’s history.”42 Scalia distinguished the Court’s cases requiring an individualized determination that capital punishment is appropriate because “death is different” (quoting Rummel).43 Justice Kennedy’s concurring opinion, joined by Justices O’Connor and Souter, concluded that the Court’s prior Eighth Amendment cases recognize a “narrow” proportionality principle based on ﬁve underlying assumptions:44 (1) Fixing prison terms for speciﬁc crimes requires fundamental choices about sentencing purposes that are primarily for the legislature, not the courts; (2) the Eighth Amendment “does not mandate any one penological theory”; (3) “marked divergences” both in penal theories and in prison terms “are the inevitable, often beneﬁcial result of the federal structure”; (4) proportionality review should, as much as possible, be informed by “objective factors,” the “most prominent” of which is “the objective line between capital punishment and imprisonment for a term of years” (because courts “lack clear objective standards to distinguish between sentences for different terms of years”); and therefore (5) “the Eighth Amendment does not require strict proportionality between crime and sentence. Rather, the Amendment forbids only extreme sentences that are ‘grossly disproportionate’ to the crime.” Justice Kennedy also announced a revised version of the three-factor Solem test: Intra- and interjurisdictional comparative assessments (Solem factors 2 and 3) “are appropriate only in the rare case in which a threshold comparison of the crime committed and the sentence imposed [Solem factor 1] leads to an inference

138

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

of gross disproportionality.”45 Kennedy concluded that the latter standard was not met in Harmelin’s case. His crime was much more serious than Solem’s $100 bad check; the amount of cocaine Harmelin possessed (more than 1.5 pounds) might produce as many as sixty-ﬁve thousand doses, threatening “grave harm to society” in terms of the effects on users, crimes committed by users, and violent crimes committed “as part of the drug business or culture.”46 Therefore, Michigan legislators “could with reason conclude” that Harmelin’s crime “is momentous enough to warrant the deterrence and retribution of a life sentence without parole.”47 Justices White, Marshall, Blackmun, and Stevens dissented in two opinions. Justice White argued that proportionality principles have long historical roots and have been read into all of the clauses of the Eighth Amendment; that the cruel and unusual punishment clause makes no distinction among types of punishments; that the Solem factors have worked well; that the second and third factors are actually more objective than the ﬁrst and strongly support a ﬁnding of disproportionality in Harmelin’s case; and that Justice Kennedy’s application of the ﬁrst Solem factor is both too subjective and too narrow because it focuses mainly on the harm threatened by this amount of drugs and not enough on critical culpability issues such as intent and motive. Justice White further noted that Harmelin was never charged with or convicted of distribution or even intent to distribute. Justice Stevens also wrote a dissent, objecting that mandatory sentences of death or life without parole conclusively presume that all eligible defendants are incorrigible and that society’s interests in deterrence and retribution outweigh any considerations of rehabilitation. Stevens argued that such a presumption is irrational;48 if some covered offenders are not incorrigible, treating them all as if they are is unnecessarily severe. The culpability factors emphasized by Justice White strongly imply a theory of limiting retributive proportionality. Justice Stevens’s objection that the mandatory penalty is overbroad because not all eligible offenders are incorrigible implicitly invoked means proportionality. However, neither justice (nor any of the other justices who wrote opinions in Harmelin) provided a clear deﬁnition of Eighth Amendment proportionality. Justice Scalia seemed to believe that this concept is inherently tied to retributive sentencing goals and that “it becomes difﬁcult to even speak intelligently of ‘proportionality,’ once deterrence and rehabilitation are given signiﬁcant weight.”49 Justice Kennedy explicitly stated that all traditional punishment purposes are valid, including retribution, deterrence, incapacitation, and rehabilitation, since “[t]he Eighth Amendment does not mandate any one penological theory.”50 One reading of Kennedy’s opinion would be that the Eighth Amendment is violated only if a sentence is “disproportionate” relative to all of the state’s asserted punishment purposes. But Justice Scalia objected (as he did even more forcefully in Ewing, discussed next) that proportionality has no meaning

Punishment

139

relative to nonretributive goals such as deterrence, incapacitation, and rehabilitation. None of the other justices responded to Scalia’s critique or suggested a nonretributive theory of proportionality. As we have shown throughout this book, utilitarian ends- and means-proportionality principles are well suited to this task. Ewing v. California51 is, at the time of this writing, the Court’s most recent prison-duration case interpreting the Eighth Amendment. The Court upheld a sentence of twenty-ﬁve years to life, imposed under California’s unusually severe three-strikes law, and further modiﬁed the Solem-Harmelin standards. Gary Ewing had been convicted of shoplifting three golf clubs worth $399 each, and over the previous twenty years he had incurred more than a dozen convictions for theft, burglary, robbery, battery, possession of a ﬁrearm, and possession of drug paraphernalia. As in Harmelin, ﬁve justices voted to uphold the sentence. Justice O’Connor’s plurality opinion, joined by Justices Rehnquist and Kennedy, adopted the narrow proportionality principle articulated in Justice Kennedy’s Harmelin concurrence, including each of Kennedy’s ﬁve underlying principles summarized earlier, along with his further proviso that the second and third Solem factors need be considered only in rare cases in which the ﬁrst factor raises a “threshold” inference of gross disproportionality. Applying Kennedy’s approach, O’Connor concluded that a comparison of Ewing’s sentence with his current and past offenses raised no such inference. O’Connor noted that the purposes of the three-strikes law are to deter repeat offenders and incapacitate those who have not been deterred, and she cited evidence suggesting that the law had furthered both goals.52 In assessing the gravity of Ewing’s conviction offense (stealing three golf clubs), O’Connor argued that this was more serious than Helm’s crime and that it was constitutionally irrelevant that Ewing’s theft offense could, if both the prosecutor and the court agreed, be treated as a misdemeanor rather than a felony. O’Connor further argued (in what appears to be an important modiﬁcation of the Solem-Harmelin standards) that, in order to accord proper deference to the state’s choice of punishment goals, the gravity of Ewing’s “offense” should include not just his conviction offense but also his extensive prior record.53 Justices Scalia and Thomas, concurring, argued that the Solem proportionality tests are unworkable and that no such requirement should be recognized under the Eighth Amendment. Justice Scalia repeated points he had made in his Harmelin opinion—that the Eighth Amendment was aimed only at excluding certain modes of punishment; that the proportionality concept is inherently tied to retributive goals; that since the Kennedy and O’Connor plurality opinions in Harmelin and Ewing do not require states to adopt retribution or any other penological theory (and speciﬁcally approve deterrent and incapacitative purposes), the concept of proportionality cannot be intelligently applied; and that if proportionality review

140

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

means that “all punishment should reasonably pursue the multiple purposes of punishment,” then the Court would not be “applying law but evaluating policy.”54 Justices Stevens and Breyer wrote dissenting opinions, each joined by the other and by Justices Souter and Ginsburg. Justice Stevens argued that the Eighth Amendment sets proportionality limits for all forms of punishment; that such limits have also been applied to bail and to punitive damages awards; that sentencing judges have long employed proportionality principles to guide their discretion; and that the Eighth Amendment “expresses a broad and basic proportionality principle that takes into account all of the justiﬁcations for penal sanctions.”55 Justice Breyer’s dissent appeared to accept Justice O’Connor’s view that prior record is relevant to the “gravity of the offense,” but Breyer maintained that the focus still ought to be on the conviction offense.56 He also made an implicit meansproportionality argument in noting the absence of evidence that shoplifting is difﬁcult to detect or that lengthy prison terms are necessary to deter this crime. Taking all of this into account—Ewing’s sentence,57 his conviction offense, and his prior record—Breyer concluded that a threshold inference of gross disproportionality had been raised, particularly since, as he argued, there is no point in having a “threshold” test unless it is easier to meet than the ultimate test. Justice Breyer then turned to intra- and interjurisidictional comparisons (noting, as Justice White had, dissenting in Harmelin, that such comparisons make proportionality review more objective). He concluded that these comparisons validated his threshold determination: “Outside of California’s three-strikes context, Ewing’s recidivist sentence is virtually unique in its harshness for his offense of conviction, and by a considerable degree . . . at a minimum, 2 to 3 times the length of sentences that other jurisdictions would impose in similar circumstances.”58 Nor could Breyer ﬁnd any important practical administrative justiﬁcations for the California statute that might justify such harsh results. At this point Breyer made another implicit means-proportionality argument, questioning the need for the statute to sweep so broadly. The goal of the legislature was to deter and incapacitate felons who commit “serious” and “violent” crimes (including many violent and drug crimes, but excluding all property crimes, no matter how high the loss); but, as Ewing’s case illustrates, the statute provided that any felony, including many property crimes that would not constitute ﬁrst or second strikes, could qualify as a third strike. Thus, Breyer concluded, “Ewing’s 25 year term amounts to overkill.”59 In a companion case to Ewing, Lockyer v. Andrade,60 the Court held that the Court of Appeals had erred in granting federal habeas corpus relief and overturning a California three-strikes sentence. On its facts, Andrade presented a much stronger basis for a ﬁnding of Eighth Amendment disproportionality. Andrade’s ﬁfty-year minimum sentence was twice as long as Ewing’s, and his conviction offenses were less serious—two counts of misdemeanor theft (shoplifting of nine

Punishment

141

videotapes worth about $150, taken from two stores), which were charged as felonies because of Andrade’s previous property crimes. His prior record was also less serious (unlike Ewing, Andrade had no previous violent or weapons convictions), and his current and prior property offenses were all driven by his need to buy heroin to feed his addiction. However, the Eighth Amendment holding in Andrade was blurred by the procedural context. Under the Antiterrorism and Effective Death Penalty Act of 1996 (“AEDPA”), a federal court may grant habeas relief only if the state court’s decision is “contrary to, or involved an unreasonable application of, clearly established Federal law” as determined by the Supreme Court.61 Thus, as Justice O’Connor’s majority opinion explicitly noted, the Court’s decision upholding Andrade’s sentence was not a ruling that his sentence complied with the Eighth Amendment. The Court was holding only that habeas relief should not have been granted because the state appellate court’s decision afﬁrming Andrade’s sentence was not so erroneous as to meet the AEDPA review standard. Justice Souter’s dissenting opinion, joined by Justices Stevens, Ginsburg, and Breyer, argued that the state court’s decision was not only erroneous but also sufﬁciently unreasonable to justify habeas relief. Souter viewed the Andrade facts as indistinguishable from Solem (particularly if one deems a ﬁfty-year minimum sentence as equivalent to life without parole for a thirty-seven-year-old offender). Souter also found Andrade’s sentence irrational when measured against the state’s asserted purpose, which, according to the state’s briefs, was incapacitation of high-risk offenders. Souter argued that the three-strikes statute represents a legislative ﬁnding that the danger such an offender posed requires a minimum sentence of twenty-ﬁve years, but Andrade received two consecutive twenty-ﬁveyear-minimum terms. In Souter’s view, it is irrational to assume that the defendant could “somehow become twice as dangerous to society when he stole the second handful of videotapes.”62 This is essentially a means-proportionality argument—a ﬁfty-year sentence is much more severe than needed to respond to the added danger that can be inferred from a second episode of shoplifting. Once again, however, neither Souter nor any of the other justices deﬁned their Eighth Amendment proportionality principles.

2. Critique of the Court’s Prison-Sentence Proportionality Review Standards The three-factor test from Solem v. Helm, as modiﬁed in Harmelin and Ewing, remains the Supreme Court’s only attempt to give precise content to the Eighth Amendment’s proportionality limitations on severe prison sentences. What kinds of proportionality are implicit in these standards? The ﬁrst Solem factor, which assesses the gravity of the defendant’s crime in relation to the sentence, appears to focus on retributive elements—the harm caused by the offense and the defendant’s

142

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

culpability (intent and motive). But if, as the Ewing plurality opinion asserts, the defendant’s prior convictions are also relevant to the “gravity” of his offense and the state’s goals of deterrence and incapacitation of recidivists are relevant as well, then even the ﬁrst Solem factor must also include nonretributive proportionality principles, and the most plausible formulations of such principles correspond to ends and/or means proportionality. As we noted earlier, several dissenting justices have made implicit means proportionality arguments over the years, apparently in relation to the overall “gross disproportionality” standard most closely associated with the ﬁrst Solem factor.63 As for the second Solem factor (i.e., comparing sentences for other crimes in the same state), both retributive and utilitarian ends proportionality may be relevant. If much more serious crimes often receive the same or lower penalties, this implies that the defendant has received punishment in excess of his deserts and/ or sentence burdens unjustiﬁed by the social harms prevented (ends disproportionality). (Means disproportionality would not be implied since the minimum degree of adequate punishment to achieve utilitarian crime-control purposes is not necessarily correlated with crime seriousness.) Under the third Solem factor (i.e., comparing sentences imposed for the same crime in other states), all three forms of proportionality may be relevant. If similar offenders in other states receive much less severe penalties, this implies retributive disproportionality (sentences in the home state exceed desert), and/or ends disproportionality (sentence burdens are not justiﬁed by social harms), and/or means disproportionality (lower penalties would likely be adequate in the home state if they are widely deemed adequate in other states; if very unusual circumstances in the home state are believed to render lower penalties inadequate, the burden should be on the state to show why this is so). Although retributive and ends- and/or means-proportionality principles are implicit in a number of the Court’s decisions, these principles need to be made explicit and more carefully applied. Doing so might have changed the result in some of these cases by sharpening the analysis of retributive values and showing how proportionality principles can be used to evaluate excessiveness relative to nonretributive sentencing purposes. A better understanding of the distinction between strict (“deﬁning”) and more ﬂexible (“limiting”) retributive proportionality theories (discussed more fully in part F) might have made it easier for the Court to recognize independent retributive limits on the severity of prison terms under the Eighth Amendment. Justice Kennedy’s assertions in Harmelin, adopted by Justice O’Connor’s plurality opinion in Ewing, that the Eighth Amendment “does not mandate . . . any one penological theory” and does not require “strict proportionality” may have been based on the erroneous assumption that retributive theory is an all-or-nothing proposition. The theory of limiting retributivism

Punishment

143

permits substantial scope for the operation of traditional crime-control purposes, which these justices clearly wished to preserve. Given the importance of these nonretributive, crime-control goals, explicit recognition and application of nonretributive (ends and means) proportionality principles would also have been helpful in these cases, particularly if the Court is unwilling to impose limiting retributive constraints on crime-control goals. Justice Scalia was clearly right in saying that nonretributive punishment goals cannot be assessed with retributive proportionality principles. However, he was wrong in assuming that there are no suitable nonretributive proportionality principles. As we have shown throughout this book, utilitarian ends- and means-proportionality principles are well established in many areas of constitutional law; such principles can and should be used to evaluate excessiveness relative to nonretributive punishment goals. The Court’s implicit use of both of these principles, when deﬁning the contemporary meaning of the Fourth Amendment’s ban on “unreasonable searches and seizures” (see chapter 5), is particularly instructive. Why should utilitarian proportionality principles be applied under the Fourth Amendment but not the Eighth? One interpretation of the Court’s most recent holdings is that a sentence violates the Eighth Amendment only if it is grossly disproportionate in relation to all traditional sentencing purposes invoked by the state. However, the better view is that some degree of retributive proportionality should be an independent constitutional requirement in every case, placing upper limits on crime-control measures even if such measures do not violate utilitarian (ends and means) proportionality principles.64 When multiple proportionality principles have been recognized in other areas of constitutional law, they usually operate independently—a violation of any of the principles sufﬁces for a ﬁnding of unconstitutionality. An example is the two-pronged standard of strict scrutiny (discussed in chapter 3). It is particularly important to recognize independent retributive limits on the length of prison sentences. Upper retributive proportionality limits reﬂect fundamental human rights principles of fairness and protection from abuses of government power,65 and such limits have been applied as a matter of federal constitutional law in a number of other contexts, including the death penalty (part A), ﬁnes and forfeitures (part D), punitive damages awards (chapter 4), and issues of criminal liability (chapter 6). No coherent and convincing rationale explains why independent retributive limits apply in all of the latter contexts but not to lengthy prison terms. Such sentences are often the practical equivalent of a death sentence, and they are usually much more severe than punitive damages, ﬁnes, and forfeitures. Nor can stricter retributive limits on criminal liability be justiﬁed by a special concern to protect totally innocent persons; the reasonable doubt rule (and to a lesser extent, all of the constitutional liability rules discussed in chapter 6) also

144

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

applies to persons who are clearly guilty of one or more crimes, thereby protecting them from being found liable for additional or more serious crimes. If courts are unwilling to recognize constitutionally required upper retributive limits, at least the ends- and means-proportionality principles should receive independent application since each represents a distinct and important form of utilitarian excessiveness. A sentence supported by utilitarian purposes should be held unconstitutional if it grossly violates ends proportionality (because the sentence’s burdens greatly exceed the likely crime-control beneﬁts) or if it grossly violates means proportionality (because a much less severe sentence would be adequate to achieve the state’s asserted crime-control purposes). Returning to the facts of the Supreme Court’s six modern prison-duration cases (including the one pro-defendant decision, Solem v. Helm, which some may believe to have been cast in doubt by later cases), how would each be analyzed under limiting retributive and ends- and means-proportionality principles?66 Clearly, an independent upper retributive limit would have strengthened the case for a ﬁnding of unconstitutional disproportionality in some of these cases or at least would have helped to establish threshold disproportionality under the ﬁrst Solem-Harmelin-Ewing factor, thus permitting consideration of intra- and interjurisdictional comparisons (Solem factors 2 and 3). In terms of the two dimensions of traditional retributive theory discussed in part F—actual or threatened harm and personal culpability—there is a clear imbalance between the minor conviction offenses and the severe penalties imposed in most of these cases. William Rummel got a life sentence (with no guarantee of parole when he became eligible after 10 years in prison) for a $121 false-pretenses crime amounting to breach of contract; Roger Davis got a 40-year sentence (parole eligibility unknown) for possessing six ounces of marijuana and selling another three; Jerry Helm got life without parole for a $100 bad check; Gary Ewing got 25 years to life for shoplifting three golf clubs; and Leandro Andrade got 50 years to life for shoplifting nine videotapes. Analysis of the four habitual-offender cases (Rummel, Solem v. Helm, Ewing, and Andrade) from a retributive proportionality perspective is complicated by the lack of scholarly consensus on how to weigh prior record. Some scholars claim prior record has no bearing on the deserved sentence, whereas others assert that such a record modestly increases desert (see further discussion in part F). However, even on the latter view, the prior-record enhancements given to these four offenders can hardly be characterized as modest; all three received sentences far more severe than what they would have deserved without a prior record—sentences comparable to those given to offenders committing the most serious crimes. In addition, the current and prior crimes of at least two of these offenders, Helm and Andrade, were related to their chemical dependency, further lowering their volitional capacity and thus their culpability.

Punishment

145

Application of independent utilitarian ends- and means-proportionality principles might also change the analysis in some of these cases, thereby providing at least a sounder basis to ﬁnd threshold gross disproportionality that permits intra- and interjurisdictional comparisons. Even accounting for prior record and assuming that repeat offenders will continue to commit similar crimes, the crimecontrol beneﬁts of lengthy incarceration may be greatly exceeded by the substantial human and ﬁnancial costs of extended imprisonment (ends proportionality), and such beneﬁts may be just as well achieved by much less severe penalties (means proportionality). As noted earlier, the latter (means proportionality) arguments are implicit in several dissenting opinions in these cases. Older and inﬁrm offenders such as Ewing and Andrade are likely to have entered or be nearing the point in their lives when their pace of criminal conduct greatly diminishes, thus steadily lowering the offender-speciﬁc preventive beneﬁts of prison while steadily raising the cost (especially for medical care). Even before offender risk subsides, speciﬁc deterrence of chemically dependent offenders like Helm and Andrade is doubtful,67 while treatment in prison or even in the community will often prevent their future crimes just as effectively as lengthy incarceration. The crime-control beneﬁts of lengthy incarceration must also be discounted by the possible signiﬁcant disutilities of penalties that are grossly disproportionate to the conviction offense. Such disutilities include lost or even reverse deterrence (offenders have no incentive to avoid more serious crimes and may be tempted to assault witnesses or arresting ofﬁcers); distortion of societal norms of relative crime seriousness; and/or diminished public and offender respect for laws and penalties.68 Retributive and utilitarian proportionality principles are difﬁcult to apply to a very serious drug case like Harmelin. The majority in that case noted that the drugs he possessed might yield as many as sixty-ﬁve thousand doses, making his sentence arguably consistent with one element of retributive proportionality (harm) and also with ends proportionality—severe social harms justify severe penalties. However, Harmelin was charged only with possession, yet his life-without-parole sentence treated him the same as if he had been charged and convicted of sale or intent to sell. Harmelin’s sentence was thus excessive relative to his culpability and the greater culpability of offenders who are proven to have sold or intended to sell yet receive penalties no more severe. This argument should be sufﬁcient to establish threshold disproportionality, which would then be strongly supported by intra- and interjurisdictional analysis. Interjurisdictional comparison also supports an argument based on means disproportionality—the much lower sentences imposed in almost all other jurisdictions imply that a less severe penalty would achieve equally good results. The defendant in Harmelin also contested the mandatory nature of his penalty. This argument was summarily rejected by Justice Scalia, who was joined on

146

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

this point by four other justices. But unlike Justice Scalia, the other four justices who approved of Michigan’s mandatory penalty accepted some Eighth Amendment proportionality limits. Two of these justices (Kennedy and Souter) remain on the Court, and the other two have been replaced by Justices Alito and Roberts. In the future, one of these justices—or more likely, a state court interpreting one of the state constitutional excessive-penalty prohibitions discussed in part E—might be persuaded to take another look at the problems posed by the interaction between severity and lack of case-speciﬁc sentencing discretion. A strong case can be made that severe mandatory penalties are inherently excessive relative to desert; even if many of the eligible offenders deserve the mandatory penalty, it is very unlikely that every eligible offender does.69 Similar inherent overbreadth arguments can be made on utilitarian grounds, particularly with respect to means proportionality: When a group of offenders is subjected to a severe mandatory penalty with no possibility of parole release, it is almost certain that, in at least some of these cases, such a penalty is unnecessary to achieve adequate deterrence, incapacitation, and other valid utilitarian goals.70 To the extent that the life-without-parole penalty in Harmelin’s case (or in Solem, supra) was designed to incapacitate dangerous offenders, the absence of any parole release option likewise violates means proportionality—it is virtually certain that some offenders sentenced under this law will cease to be dangerous at some point before they die. To summarize, in all six of the Court’s modern prison-duration cases more precise application of limiting retributive and utilitarian ends- and meansproportionality principles would provide strong arguments in favor of a ﬁnding of gross disproportionality at least as a threshold matter, thus permitting application of the more objective and more defendant-friendly second and third Solem standards.

C. EIGHTH AMENDMENT LIMITS ON THE TREATMENT OF PRISONERS The Supreme Court has held that Eighth Amendment limits apply not only to measures that are intended as punishment for crimes (discussed in parts A, B, and D) but also to certain unacceptable treatment of convicted prisoners71 that is not part of their formal prison or jail sentence.72 Inmates have used the Eighth Amendment to challenge denial of medical care; failure to provide protection from other inmates, guards, or suicide risk; various other harsh prison conditions; severe disciplinary measures imposed for violation of prison and jail rules; and excessive force used by prison and jail guards.73 Because convicted prisoners are deemed ﬁt subjects for harsh treatment and because the operation of jails and prisons is difﬁcult and dangerous, courts adopt

Punishment

147

a deferential attitude. Nevertheless, numerous Supreme Court and lower court cases have found that inmates proved or sufﬁciently alleged an Eighth Amendment violation. Very few cases expressly mention proportionality, but implicit proportionality principles often appear in the reasoning of these decisions—even though neither of the standards currently applied in prisoners’ rights cases mentions or implies such principles. We argue that courts should explicitly invoke proportionality principles in some of these cases—those involving claims of excessive force or discipline—because the essence of these cases, like those involving severe sentences, is the question whether the challenged measures are excessive relative to the inmates’ desert and/or to proper purposes and available alternatives. In Estelle v. Gamble74 the Supreme Court stated that the Eighth Amendment is violated by the “unnecessary and wanton inﬂiction of pain” on inmates, involving measures “totally without penological justiﬁcation,” and that these issues are assessed in light of “the evolving standards of decency that mark the progress of a maturing society.” Most of this language was taken from a death penalty case, Gregg v. Georgia,75 but subsequent prisoners’ rights cases have rarely relied so directly on Eighth Amendment sentencing standards. Some lower court cases from the 1970s used the “unnecessary and wanton” standard or a generalized Eighth Amendment “necessity” principle to ﬁnd certain inmate restraint measures unconstitutional because they were much more severe or lasted much longer than necessary.76 The emphasis on necessity in these early cases strongly suggests a version of meansproportionality analysis. In addition, a few 1970s cases appear to have applied limiting retributive principles in ﬁnding challenged prison disciplinary measures to be excessive relative to the seriousness of the infractions being punished.77 In later prisoners’ rights cases the Supreme Court developed two sets of standards speciﬁcally designed for inmate mistreatment claims. Each includes both an objective and a subjective component; neither strongly emphasizes proportionality.78 Inmates’ claims of inadequate medical care, absence of protection from assault or suicide, harsh prison conditions or handling, and severe disciplinary measures require a showing of prison ofﬁcials’ “deliberate indifference” to inmates’ health or safety, a standard akin to “recklessness” in the criminal law.79 In Rhodes v. Chapman80 the Court held that the objective component for such claims requires deprivation of “the minimal civilized measure of life’s necessities” and added that many unpleasant or even harsh prison conditions will fail to meet this standard (harsh treatment is deemed to be a legitimate part of the penalty). In a later case the Court stated that the objective component requires deprivation of an “identiﬁable human need such as food, warmth, or exercise” and that the deprivation must lack penological justiﬁcation.81 A different subjective standard applies to claims of excessive force by prison ofﬁcials in restoring order or subduing an unruly inmate. According to the

148

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

Court, a more deferential standard is appropriate because the state must balance competing interests—safeguarding the inmate versus protecting other inmates and noninmates—and ofﬁcials must often act quickly.82 The subjective standard for these cases is that the ofﬁcials acted “maliciously and sadistically for the very purpose of causing harm.”83 On the other hand, the objective component in this context is lower because, when the “malicious and sadistic” standard is met, “contemporary standards of decency always are violated. . . . This is true whether or not signiﬁcant injury is evident,” provided the injury is not de minimis.84 The current standards summarized here are unsatisfactory. It is not clear why a separate subjective element is required in this context, given that Eighth Amendment limits on sentencing and forfeitures do not include any such element. This element may have been designed to transform administrative measures into “punishment” subject to the cruel and unusual punishment clause; however, a subjective element also applies to prison disciplinary measures that are clearly intended as (further) punishment. Alternatively, perhaps subjective standards are used to emphasize the need to defer to decisions by prison ofﬁcials and to intervene only when these ofﬁcials act culpably. Nonetheless, this rationale does not explain why the objective standards applied to the treatment of prisoners also differ from those applied to sentences and forfeitures. Explicit proportionality analysis seems particularly appropriate when evaluating claims of alleged excessive force used to subdue or transport an inmate or of unduly severe disciplinary measures since the essence of these claims is excessiveness (not deprivation).85 Notwithstanding the formal standards currently applied, many examples of implicit means-proportionality principles appear in recent Supreme Court and lower court cases. In Hope v. Pelzer86 the Supreme Court found an Eighth Amendment violation when an inmate who had been disruptive at a chain gang work site was taken back to the prison and painfully handcuffed for seven hours to a tall “hitching post” without adequate water, unprotected from sunburn on his shirtless body, and with no bathroom breaks. Citing the lack of any continuing emergency situation or safety concerns, the Court found that this treatment violated the inmate’s dignity and imposed “wanton and unnecessary pain.” In Delaney v. DeTella,87 involving conﬁnement in a tiny segregation cell for six months with no out-of-cell exercise, the Seventh Circuit found that periodic exercise is an essential human need and that no legitimate concerns (such as the inmate’s extreme dangerousness) justiﬁed such extended and total denial of exercise. In other words, such denial was unnecessary. Similarly, in Anderson-Bey v. District of Columbia,88 the District Court found the allegations sufﬁcient to state a claim because the very tight handcuffs placed on the plaintiffs for their all-day transport to another prison imposed more pain than was necessary to maintain security. In Trammel v. Keane, the Second Circuit used

Punishment

149

proportionality language, as well as implicit means-proportionality analysis, to conclude that, in light of an inmate’s many disciplinary violations, the admittedly severe measures taken in his case were warranted by the need to strongly deter and reform him and “directly and proportionately targeted [his] misconduct.”89 The measures were deemed necessary and thus not excessive relative to less severe alternatives. Implicit proportionality principles have also been applied indirectly as evidentiary tools. In Hudson v. McMillian,90 the Supreme Court stated that the following factors are relevant in applying the “malicious and sadistic” standard: (1) the extent of the injury suffered; (2) the need for the application of force; (3) the relationship between the need and the amount of force used; (4) the threat reasonably perceived by the responsible ofﬁcials; and (5) any efforts made to temper the severity of a forceful response. These factors seem to reﬂect both means- and ends-proportionality concepts by examining the need for and narrow tailoring of the force, as well as the injury suffered, compared with the threat reasonably perceived; the analysis closely resembles Fourth Amendment excessive force principles (discussed in chapter 5, part A). However, at least in theory, these principles appear to have inferential value only in the Court’s Eighth Amendment excessive force cases; indeed, the Court has speciﬁcally rejected any direct application of reasonableness or means-proportionality concepts.91 To summarize, courts often emphasize the “unnecessary” or “gratuitous” use of force or discipline, but under the Court’s two-pronged standards, proportionality principles are almost always implicit and are sometimes deemed relevant only as a way to infer improper intent. Since the gist of many of these claims is excessiveness, it would sharpen and improve analysis if courts explicitly invoked proportionality principles, which could still be tailored to reﬂect context-speciﬁc needs. Broader application of proportionality principles in favor of inmates in these cases also seems very appropriate in light of the explicit imposition of meansand ends-proportionality principles against inmates—to limit the remedies available in prisoners’ rights suits. The Prison Litigation Reform Act of 199592 requires claims for relief to be “narrowly drawn” (i.e., to be only as broad or as long lasting as necessary to correct the particular violation shown for the particular inmates bringing the suit), while giving “substantial weight to any adverse impact on public safety or the operation of a criminal justice system caused by the relief.”

D. EIGHTH AMENDMENT LIMITS ON FINES AND FORFEITURES Prohibitions on excessive ﬁnes can be traced to the Magna Carta (1215)93 and were expressly included in the English Bill of Rights (1689), founding-era state bills of rights, and the Eighth Amendment.94 However, the Supreme Court did not have

150

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

occasion to interpret the Eighth Amendment provision until the end of the twentieth century and then only in the context of civil and criminal forfeitures, not cases involving actual ﬁnes (which at this writing have never come before the Court). The forfeiture cases are discussed in the following section, and lower court ﬁne and penalty cases are taken up after that. Limiting retributive proportionality principles are fairly well deﬁned in the Supreme Court and lower court cases, but as in the sentencing cases discussed previously, courts have failed to recognize and articulate proportionality principles suitable for deﬁning constitutional excessiveness relative to the nonretributive (deterrent) purposes served by ﬁnes, forfeitures, and civil penalties.

1. The Supreme Court’s Civil and Criminal Forfeiture Cases The Court’s forfeiture cases were foreshadowed by its ruling in Browning-Ferris Industries v. Kelco Disposal.95 Browning-Ferris held that the Eighth Amendment excessive ﬁnes clause is inapplicable to punitive damages awards obtained by private litigants because the clause applies “primarily, and perhaps exclusively, to criminal prosecutions and punishments”; the clause thus cannot apply in a civil suit, at least “when the government neither has prosecuted the action nor has any right to receive a share of the damages awarded.” However, the government does “prosecute” forfeiture actions and receives the money or property forfeited, and such actions have punitive, as well as remedial, purposes, so it was no great surprise when, several years later, in United States v. Alexander,96 the Court held that an in personam criminal forfeiture of the defendant’s entire business might constitute an excessive ﬁne. The amendment’s application to civil, in rem forfeitures raises additional problems since those actions are, at least in form, directed at property rather than persons and do not require the property’s owner to be criminally convicted, prosecuted, or even chargeable. But in Austin v. United States,97 the Court held that the key issue is not whether a forfeiture is classiﬁed as civil/in rem or criminal/in personam but rather whether the measure constitutes “punishment” at least in part and is not purely “remedial.” The Court further held that a measure imposes punishment if it serves retributive or deterrent purposes, whereas a purely remedial measure is designed to compensate the government for enforcement costs and/or lost revenues. The Court thus decided that the in rem civil forfeiture of the defendant’s mobile home and auto body shop after he pleaded guilty to distributing cocaine could be an excessive ﬁne, but it remanded the case without attempting to deﬁne standards for determination of the excessiveness issue. In United States v. Bajakajian,98 the Court did provide such a standard and used it in an in personam criminal forfeiture case to hold that the excessive ﬁnes clause

Punishment

151

would be violated by full forfeiture of $357,144 in cash (the defendant apparently acquired the cash legally but failed to report it when attempting to take it out of the country). Justice Thomas’s majority opinion applied a standard of “gross disproportionality” to the gravity of the offense the forfeiture is designed to punish, citing Solem v. Helm but not the more recent case of Harmelin v. Michigan (both cases are discussed in part B). Applying this standard, Justice Thomas stressed several aspects of Bajakajian’s offense: (1) the technical nature of the crime (nonreporting of a cash transport that itself was perfectly legal); (2) the trial court’s ﬁnding that the crime was unrelated to any other illegal activities; (3) the fact that defendant did not fall into any of the groups targeted by the statute (money launderers, drug trafﬁckers, tax evaders); (4) the defendant’s recommended sentence under the sentencing guidelines (six months’ incarceration and a $5,000 ﬁne), which the Court viewed as a better measure of the defendant’s culpability relative to other violators of this statute than the much higher statutory maximum penalties; and (5) the minimal harm to the government caused by defendant’s nonreporting. The harm and culpability factors stressed in Bajakajian correspond to the two traditional elements of blameworthiness, thus suggesting a grounding in limiting retributive proportionality.99 But as noted earlier, forfeitures may constitute punishment if they serve deterrent, as well as retributive, purposes. Thus, unless the Court is going to impose retributive limits on deterrent purposes (which it has refused to do in the context of prison sentences; see part B), the Court needs to develop and apply standards of utilitarian “excessiveness.” One commentator has suggested that some forfeitures impose burdens out of proportion to the law enforcement beneﬁts achieved and are also excessive in their unnecessary severity and overinclusiveness.100 These two forms of excessiveness correspond to endsand means-proportionality principles. Courts should openly recognize and further develop these principles. Subsequent forfeiture cases in federal and state courts have usually distinguished Bajakajian and upheld the forfeiture,101 but a few cases have found an excessive ﬁnes violation.102

2. Fines and Punitive Civil Penalty Cases in the Lower Courts Lower courts both before and after Bajakajian have occasionally found criminal ﬁnes or punitive civil penalties103 to be unconstitutionally excessive. Some of these cases are based additionally or solely on state constitutional provisions (discussed more fully in part E). In applying the federal “gross disproportionality” standard from Bajakajian, some lower courts104 have invoked the three proportionality factors from Solem v. Helm since that case (but not the three factors) was cited in Bajakajian.

152

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

Some cases decided prior to Bajakajian suggested one or more nonretributive proportionality principles, and at least some of these holdings survive after Bajakajian, at least as a matter of state constitutional law. Here is a sampling of those decisions. People v. Malone105 held that a $100,000 ﬁne (the statutory maximum) imposed for an offense involving $400 of property damage violated Colorado and federal excessive ﬁnes provisions. The Court held that relevant factors include not only the severity of the conviction offense but also the defendant’s “character and background” and his ability to pay the ﬁne; as to the latter, the court concluded that a ﬁne is excessive if it is “disproportionate to the defendant’s [ﬁnancial] circumstances.” The character and background factors may suggest potential (but unspeciﬁed) nonretributive proportionality principles. The ability-to-pay factor identiﬁes either a new form of excessiveness or one indirectly related to ends or means proportionality—the uncollectible portion of the ﬁne provides either no additional beneﬁt (means) or insufﬁcient additional (symbolic?) beneﬁts to justify the added public and private burdens (ends). In People v. Antolovich,106 a statutory-maximum ﬁne of $25,000 was held to violate the Michigan Constitution’s excessive ﬁnes clause where the ﬁne was imposed for delivery of one gram of cocaine for no proﬁt and not as part of a pattern of criminal behavior by an offender with a history of steady employment and no prior record. The court stated that, in considering whether a ﬁne is excessive, “due regard must be had [1] to the object designed to be accomplished, [2] to the importance and magnitude of the public interest sought to be protected, [3] to the circumstances and nature of the act for which it is imposed, [4] to the preventive effect upon the commission of the particular kind of crime, and [5] in some instances to the ability of accused to pay.”107 The second and fourth factors appear to reﬂect implicit endsproportionality principles. The court focused on the ﬁrst factor and concluded that the purpose of authorizing ﬁnes up to $25,000 (“to stiﬂe the allure of potentially enormous proﬁts from illegal drug trafﬁcking”) did not require imposition of that amount in this case (an implicit means-proportionality argument). Commonwealth v. Heggenstaller108 held that a $6,550 ﬁne imposed for unpaid telephone charges ($1.25 per month, totaling $28.75) violated the Pennsylvania excessive ﬁnes clause. The court’s sole criterion of excessiveness suggests an implicit means-proportionality principle—“[a] ﬁne should be sufﬁcient enough to discourage the conduct.”

3. Summary The infrequent and inconsistent application of the Supreme Court’s excessive ﬁnes standards suggests that the Court and lower courts need to clarify the apparent

Punishment

153

limiting retributive theory of “gross disproportionality” and also to specify whether and how disproportionality is to be measured relative to nonretributive purposes. Litigants should also challenge some of the question-begging arguments in these cases; for instance, when extremely high statutory maximum ﬁnes are cited in support of forfeitures, actual ﬁnes, or penalties, counsel should argue the excessiveness of those maxima.109

E. STATE CONSTITUTIONAL LIMITS ON EXCESSIVE PUNISHMENT Most state constitutions contain prohibitions of excessive punishments. Some use language identical to the Eighth Amendment excessive ﬁnes and cruel-andunusual clauses, but many textual variants exist, including prohibition of cruel or (not and) unusual punishment, cruel punishment alone, and disproportionate punishment. In interpreting their own constitutions, state courts have an especially important limiting role to play since they face no problems of federalism and fewer issues of democratic legitimacy (because they are elected or otherwise more directly politically accountable than federal judges). In addition, when the wording of a state constitution is different from that of the Eighth Amendment, state courts have more leeway to adopt a different interpretation, particularly when the state text explicitly requires proportionality or generalized excessiveness analysis. Of course, elected state judges may be reluctant to appear too “pro-criminal” when called upon to check the excesses of the executive and legislative branches, but the same is true when elected judges interpret other criminal law and procedure rules that protect criminal suspects and defendants. Moreover, even a cursory examination of state law excessive-punishment rulings reveals numerous decisions that ﬁnd prison sentences unconstitutionally excessive. The following discussion ﬁrst surveys the variety of state constitutional texts related to excessive punishments and the case law interpreting these provisions. It then examines in more detail the decisions in Illinois, a state with particularly well-developed state constitutional sentencing jurisprudence. Most of the state cases appear to be applying a version of the federal standards under Solem v. Helm, which, as discussed in part B, do not clearly specify what theories of proportionality are being applied. In some states, however, the constitutional texts and/or judicial interpretations have produced clear examples of the use of limiting retributive principles and occasionally ends and/or means proportionality. The focus of the following discussions is on prison sentences. State excessive ﬁnes cases were discussed in part D.

154

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

1. State Constitutional Texts and Interpretive Case Law All ﬁfty states have constitutional provisions related to sentencing. Every state, with the exception of Connecticut and Vermont, has a provision that speciﬁcally limits severe punishments of all kinds. But those two states have provisions that limit severe ﬁnes, and Vermont courts interpret that state’s “proportioned” ﬁnes clause to apply to all types of penalties.110 The forty-nine states with all-penalties provisions fall into ﬁve categories: 1. Ten states have constitutions that either explicitly or by interpretation require proportionate penalties. The eight with explicit provisions are Indiana, Maine, Nebraska, New Hampshire, Oregon, Rhode Island, Vermont, and West Virginia. Of these states, all but Vermont also have constitutional provisions that fall into one of the following four categories. In addition, Illinois has a provision that requires punishment “according to the seriousness of the offense” and that is commonly referred to as the “proportionate-penalties clause” (see further discussion in the following section on Illinois constitutional sentencing cases). And in Washington the Supreme Court has interpreted that state’s constitutional ban on cruel penalties in light of proportionality principles recognized in state statutes.111 2. Nineteen state constitutions prohibit cruel or unusual penalties, including two states, Maine and New Hampshire, with proportionatepenalty clauses (category 1 above). The other seventeen states are Alabama, Arkansas, California, Hawaii, Kansas, Louisiana, Massachusetts, Michigan, Minnesota, Mississippi, Nevada, North Carolina, North Dakota, Oklahoma, South Carolina, Texas, and Wyoming. 3. Six state constitutions prohibit cruel penalties (omitting the “unusual” element), including one state, Rhode Island, with a proportionate-penalty clause. The other ﬁve states are Delaware, Kentucky, Pennsylvania, South Dakota, and Washington. 4. Twenty-two state constitutions prohibit cruel and unusual penalties, including eight states with a proportionate-penalty clause and/or one of the provisions in the next category. Those states are Alaska, Georgia, Indiana, Nebraska, Oregon, Tennessee, Utah, and West Virginia. 5. At least nine states, all of whom are included in one of the ﬁrst four categories, have additional state constitutional provisions related to excessive penalties or treatment. Five states (Indiana, Oregon, Tennessee, Utah, and Wyoming) prohibit “unnecessary rigor” in the treatment of persons arrested or held in custody;112 Georgia prohibits

Punishment

155

such persons from being “abused”; Louisiana’s constitution prohibits “euthanasia, [ ] torture, or [ ] cruel, excessive, or unusual punishment”; South Carolina prohibits “corporal,” as well as cruel or unusual, punishment; and Alaska recognizes that inmates have a right to rehabilitation pursuant to a state constitutional provision that requires all criminal administration to be based on “the principle of reformation” (as well as on public protection, community condemnation, victims rights, and restitution).113 Cases that construe these state constitutional provisions are as varied as the provisions themselves and do not always track differences in constitutional text. Some courts cite such differences as grounds for recognizing broader state constitutional protection, whereas other courts ignore textual differences and apply federal constitutional standards. Courts in states from the ﬁrst two categories (those with proportionate-penalty clauses or clauses that prohibit cruel or unusual punishment) are somewhat more likely to grant broader protection, but many states in each category do not do so. The reluctance of state courts to grant broader protection against excessive penalties under state constitutions is surprising given the much greater frequency with which state courts recognize expanded criminal procedure rights in other contexts. For example, many courts have given citizens greater protection from searches and seizures under state provisions worded similarly or even identically to the Fourth Amendment.114 Whether or not the state constitution is worded differently or is deemed more protective, numerous cases across a diverse group of states have invalidated sentencing provisions or speciﬁc sentences under state constitutional law.115 Although most courts merely apply the Solem v. Helm framework, some state courts have developed more precise proportionality analysis or stated principles. The several Illinois proportionality tests are discussed in a later section. The following are examples of decisions from other states. The California Supreme Court has strongly implied a focus on limiting retributive proportionality. In re Rodriguez116 held that, under the state’s cruel-orunusual clause, “the measure of the constitutionality of punishment for crime is individual culpability.” In Conner v. State,117 the Indiana Supreme Court held that the state’s proportionate-penalties clause grants more protection than the Eighth Amendment. The court further held that the defendant’s six-year sentence for selling a harmless substance represented to be marijuana was unconstitutionally disproportionate because it was twice as severe as the three-year maximum penalty applicable to the sale of real marijuana. The court therefore vacated the sentence and remanded with instructions to impose a sentence of no more than three years.

156

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

The Kentucky Supreme Court, in applying that state’s ban on “cruel punishment” in Workman v. Commonwealth,118 invalidated sentences of life without parole given to two fourteen-year-old rape offenders. The court’s decision was based in part on the principle, akin to alternative-means proportionality, that a punishment is unconstitutionally excessive if it “go[es] beyond what is necessary to achieve the aim of the public intent as expressed in the legislative act [or] . . . exceeds any legitimate penal aim.” In State v. Hayes,119 the Louisiana Court of Appeal vacated a mandatory sentence of life without parole under that state’s cruel or unusual punishment clause (but without emphasizing the differences between state and federal constitutional texts). The court found the sentence constitutionally excessive, citing the following facts: Hayes’s current offense involved theft of approximately $1,000 from his employer; he admitted the crime and returned $693 still in his possession; he had a second job, and that employer thought highly of Hayes and believed he could be rehabilitated; his prior crimes were mostly minor property offenses; his one “crime of violence” (required to impose the life sentence) was a strong-armed robbery and theft of a bicycle committed when Hayes was a juvenile; and the presentence report recommended a sentence of ten years. The general standards invoked in Hayes were that penalties must be “meaningfully tailored to the culpability of the offender, the gravity of the offense, and the circumstances of the case” and must not be “disproportionate to the harm done” or “shock[ ] one’s sense of justice.”120 This language suggests the application of both implicit limiting retributive principles and ends proportionality. Ends- and/or means-proportionality principles were also implicit in the court’s statement that the trial court’s sentence “imposes an undue burden on the taxpayers of the state” in a case where “a severe sentence, for example, between twenty and forty years, would have met all of the societal goals of incarceration.”121 In People v. Bullock,122 the mandatory life-without-parole penalty upheld by the Supreme Court in Harmelin v. Michigan (discussed in part B) was found to violate the Michigan Constitution in part because that state’s constitution forbids cruel or unusual punishments. The Michigan Supreme Court implicitly adopted a retributive theory, stressing the defendant’s limited culpability in the absence of any proof of sale or intent to sell. And contrary to Justice Kennedy’s analysis in Harmelin, the Michigan court refused to hold the defendant responsible for the potential harms that might have been caused if the large quantity of drugs he possessed had been converted into individual doses. Proportionate punishment under the Michigan Constitution “must be tailored to the defendant’s personal responsibility and moral guilt”; anyone who obtained some of these drugs and caused harm “can and should be held individually responsible” for such harm.

Punishment

157

Utilitarian proportionality principles are also clearly implied by the wording of several state constitutional texts. The ﬁve state constitutions that prohibit “unnecessary rigor” in the treatment of persons in custody have thereby recognized an implicit means-proportionality limitation. In addition, ends-proportionality principles are endorsed in Article 18 of the New Hampshire Constitution (part 1), which states: “All penalties ought to be proportioned to the nature of the offense. No wise legislature will afﬁx the same punishment to the crimes of theft, forgery, and the like, which they do to those of murder and treason. Where the same undistinguishing severity is exerted against all offenses, the people are led to forget the real distinction in the crimes themselves, and to commit the most ﬂagrant with as little compunction as they do the lightest offenses. . . .” The fear that the people will “forget the real distinction” of crimes and commit greater crimes with no greater “compunction” invokes the norm-reinforcing and marginal deterrent values of penalties proportionate to social harm, both of which are implicit endsproportionality arguments (see further discussion in part F).

2. Illinois Constitutional Sentencing Cases Article I, Section 11 of the Illinois Constitution declares that “[a]ll penalties shall be determined . . . according to the seriousness of the offense.” The Illinois Supreme Court has concluded that no change in meaning was intended in 1970 when this language was substituted for the provision in the prior (1870) constitution, which called for penalties to be “proportioned to the nature of the offense.”123 Like its predecessor, the current provision is commonly known as the state’s proportionate-penalties clause. A penalty violates the proportionate-penalties clause if either of the following tests is met: (1) the penalty “is a cruel or degrading punishment not known to the common law, or is a degrading punishment which had become obsolete in the State prior to the adoption of its constitution, or is so wholly disproportioned to the offense committed as to shock the moral sense of the community”;124 or (2) the offense has a higher penalty than another offense with identical substantive elements.125 Neither of these tests bears a close resemblance to any of the factors recognized by the U.S. Supreme Court in Solem v. Helm; the ﬁrst test is both narrower and broader than the ﬁrst Solem factor, and neither of the Illinois tests involves comparisons to penalties in other jurisdictions (the third Solem factor). Furthermore, unlike the modiﬁed Solem standards adopted by the plurality opinion in Ewing, the Illinois constitutional provision and interpretive case law focus entirely on the defendant’s current “offense,” without consideration of the seriousness of the defendant’s prior record.

158

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

Several of the proportionality concepts identiﬁed in this book may be implicit in the Illinois standards. The ﬁnal clause of the ﬁrst Illinois test appears to be based on a limiting retributive theory; the language used (“so wholly disproportioned” as to “shock the moral sense of the community”) suggests a criterion based on blameworthiness, and the Illinois Supreme Court has emphasized offender culpability when interpreting this standard.126 The second Illinois test may be based more on notions of due process (lack of rational basis; concerns about abuse of prosecutorial discretion) than on proportionality, but it could incorporate all three of the proportionality principles we have identiﬁed. If crimes with identical substantive elements receive different penalties, there is a great risk that offenders who receive the more severe penalty have been punished in excess of their deserts (limiting retributive proportionality) and/or that the beneﬁts achieved by the more severe penalty are not worth the greater burdens on defendants (ends beneﬁts), and/or that the greater penalty is not needed to achieve all of the relevant sentencing purposes (alternative means). For many years the Illinois Supreme Court recognized a third type of state constitutional disproportionality, applicable when two or more offenses have “related” legislative purposes and where “conduct that creates a less serious threat to the public health and safety is punished more harshly.”127 This so-called crosscomparison test involved a more limited form of intrajurisdictional comparison than the second Solem factor: Only offenses that reﬂected related legislative purposes were compared, and the relative severity of crimes was explicitly tied to the social harms caused by each crime. The focus on harm suggested a theory of utilitarian ends-proportionality (which, unlike retributive proportionality, does not give substantial weight to offender culpability; see discussion in part F). After two decades of experience with the cross-comparison proportionality test, which had been increasingly applied in recent years, the Illinois Supreme Court abandoned that test in People v. Sharpe.128 The court concluded that judicial application of both prongs of this standard (“related” legislative purposes and “less serious threat to the public health and safety”) was unworkable and invaded the legislative prerogative to deﬁne criminal punishments. The court worried that reviewing courts could not know all of the purposes the legislature had in mind, whether it viewed certain harms or conduct as more serious and what factors it took into account in setting the penalty—in particular, whether greater sentence severity was justiﬁed by factors other than social harm, such as recent increases in the frequency of a crime. Perhaps another, unstated reason that cross-comparison review seemed too “legislative” is that most of the cases that invoked this standard were in essence facial attacks on statutory penalties by means of a pretrial motion to dismiss rather than “as applied” attacks on a particular sentence imposed.

Punishment

159

The Sharpe opinion also cited an earlier decision, People v. McDonald,129 which purported to hold that the proportionate-penalties clause has the same meaning as the Eighth Amendment’s cruel and unusual punishment clause. However, McDonald was a death penalty case that involved the narrow issue of what mitigating factors defendants have a constitutional right to ask the jury to consider. Moreover, any broad reading of the McDonald court’s truncation of the scope of the Illinois Constitution would render the broader state constitutional text superﬂuous and would also be inconsistent with the other two Illinois proportionality tests discussed earlier (especially the “identical elements” test)—both of which the Sharpe court reafﬁrmed. Curiously, although the Sharpe court seemed eager to cut back on the scope of judicial proportionality review, it nevertheless chose not only to retain the two other state proportionality tests but also to revive a due process standard (whether the penalty is “reasonably designed to remedy the particular evil that the legislature was targeting”) that preceded the emergence of the cross-comparison test. And while the court stressed that lower courts should not continue to apply the latter in the guise of due process analysis, it seemed to approve of an earlier case in which a due process violation was found on the basis of a comparison of the lower penalty provided for a crime that the legislature clearly considered more serious.130 Thus, while the Sharpe court rejected a standard that focused entirely on a comparison of seriousness and penalties for different crimes, it did not and probably could not prevent courts from making such comparisons in the course of applying two of the three remaining state constitutional excessive-penalty standards (“shocks the moral sense of the community” and due process). Of course, notwithstanding the Sharpe court’s strenuous objections to cross-comparison proportionality review, Illinois courts must apply federal constitutional law and thus must continue to compare the seriousness and penalties for other crimes under the second Solem standard (which, under Harmelin and Ewing, becomes applicable once there is a threshold ﬁnding of gross disproportionality). Under Solem-Harmelin-Ewing and the two state standards, courts will probably continue to compare the purposes, seriousness, and assigned penalties of different crimes despite the Sharpe court’s concerns about such judicial assessments. In addition to its limited practical effect, Sharpe is a very disappointing and poorly reasoned decision. The court overstated the problems of People v. Wisslead,131 the 1983 case that adopted the cross-comparison test. Moreover, the Sharpe opinion’s policy arguments, summarized earlier, prove too much (being inconsistent with the three remaining forms of proportionality review). That opinion also failed to consider less drastic solutions to problems that had arisen in postWisslead case law. Most of that case law was a response to a mass of overlapping

160

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

and often complex sentencing laws—a development that not only helps explain many of the inconsistencies in the application of cross-comparison proportionality review but also underscores the importance of such review. The Sharpe court should have disapproved of the reasoning (but not necessarily the results) of some of the post-Wisslead cases and should have considered modifying rather than abandoning the cross-comparison standard. That standard should have been restated to require some sort of clear or substantial disproportionality in the treatment of the offenses being compared and perhaps to encourage more frequent “as applied” review in lieu of pretrial facial challenges that invalidate a penalty under all circumstances. Cross-comparison review could also have been limited to closely related crimes, as it is in Oregon.132 The Sharpe court should also have considered revising the overall structure of proportionate-penalties-clause jurisprudence. For instance, the three types of state disproportionality—like the second and third Solem prongs—could be viewed not as separate ﬁnal tests but rather as ways of demonstrating a single, overall standard of unconstitutional excessiveness. In any case, the overall or several standards should have been more clearly deﬁned in terms of retributive and/or utilitarian proportionality principles. In short, the waxing and waning of the Illinois cross-comparison test underscores not only the difﬁculty but also the importance of proportionality review. The lesson for other states is not that such review is impossible but rather that it must be done carefully and be based on clear principles. State courts of last resort must also show patience, political courage, and respect for the difﬁculties faced by lower courts. The Sharpe decision reﬂected none of these virtues.

F. PROPORTIONALITY PRINCIPLES IN SUBCONSTITUTIONAL SENTENCING THEORY, LAW, AND PRACTICE The state and federal constitutional proportionality rules discussed in parts A thorough E expressly or implicitly reﬂect well-established principles of law and philosophy. In this part we present a brief survey of the ways in which these principles have been deﬁned and applied in writings on sentencing theory (ﬁrst section), U.S. subconstitutional sentencing law and practice (second section), and sentencing laws and decisions in other countries (third section).

1. Sentencing Theory Although some scholars agree with the Supreme Court justices who have asserted that the concept of proportionality applies only under a retributive theory of

Punishment

161

punishment,133 many others have recognized one or more nonretributive proportionality concepts, some of which have been proposed as possible constitutional limitations.134 The following discussion reviews the ways in which both retributive and nonretributive proportionality principles have been or could be applied to limit unreasonably severe penalties. We begin by clarifying the meaning of retributive proportionality, noting two very different versions of retributive theory (only one of which is appropriate for constitutional analysis). We then discuss proportionality concepts in nonretributive sentencing theories. a. Retributive Proportionality The English-language literature on retributive punishment theories is extensive.135 For present purposes, the most important and widely accepted principles of these theories are the following. First, retributive (or “just deserts”) theory, unlike utilitarian or other “consequentialist” theories, considers only defendants’ past actions, not their probable future conduct or the effects the punishment might have on crime rates. Second, retributive theory examines the blameworthiness of the defendant’s actions and focuses primarily on the offense being sentenced. Some retributive scholars believe that the current offense is the only relevant consideration and that any prior convictions are irrelevant; other scholars hold that prior crimes modestly increase an offender’s blameworthiness.136 Third, the offender’s blameworthiness for an offense is generally assessed according to two elements: the nature and seriousness of the harm foreseeably caused or threatened by the crime and the offender’s culpability in committing the crime (in particular, the offender’s degree of intent (mens rea), motives, role in the offense, and mental illness or other diminished capacity). Finally, there are two very different theories about the role that retributive values should play in sentencing. These two approaches have sometimes been referred to as “deﬁning” and “limiting” retributivism.137 According to the ﬁrst theory, principles of just deserts should deﬁne the degree of punishment severity as precisely as possible; offenders should receive their just deserts, no more and no less. This theory, as elaborated by writers such as Andrew von Hirsch, permits crime-control, budgetary, or other nonretributive values to affect both the overall scale of punishment severity (absolute amounts, as determined by the most and the least severe penalties) and the choice among penalties deemed to be equal in severity, but it insists on fairly strict ordinal proportionality in the relative severity of penalties imposed on different offenders.138 Since deﬁning retributivism leaves little room for the operation of nonretributive values and goals, it is clearly too narrow an approach for federal constitutional purposes; the Supreme Court has held that the Eighth Amendment permits states to pursue a variety of sentencing goals.

162

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

The other theory, limiting retributivism, allows all traditional punishment purposes to play a role but places outer limits both on who may be punished (only those who are blameworthy)139 and how hard they may be punished (within a range of penalties that would be widely viewed as neither unfairly severe nor unduly lenient). This theory is most often associated with the writings of Norval Morris, who viewed retributive assessments as imprecise and therefore posited a range of “not undeserved” penalties.140 Other writers have proposed ﬂexible retributive limits on different grounds, emphasizing the special importance of avoiding unfairly severe penalties. For example, philosopher K.G. Armstrong states that justice grants “the right to punish offenders up to some limit, but one is not necessarily and invariably obliged to punish to the limit of justice. . . . For a variety of reasons (amongst them the hope of reforming the criminal) the appropriate authority may choose to punish a man less than it is entitled to, but it is never just to punish a man more than he deserves” (emphasis in original).141 As revealed in the cases discussed earlier in this chapter, limiting retributivism appears to be the approach the Supreme Court has applied when it has invoked retributive principles. This approach, which emphasizes limits on excessive measures, is consistent with both the text of the Eighth Amendment and the role of constitutional guarantees as protectors of human rights and bulwarks against unfairness and abuse of governmental power.

b. Nonretributive Proportionality Nonretributive (utilitarian or consequentialist) purposes of punishment focus on the future: What effect will the proposed sentence have on the offender, on wouldbe offenders, and/or on society and at what cost?142 The traditional nonretributive purposes include special (or individual or speciﬁc) deterrence, incapacitation, and rehabilitation of this offender (because he is thought likely to commit further crimes), as well as general deterrence of would-be violators (both through fear of receiving similar punishment and by the educative or norm-reinforcing effects that penalties have on views about the relative harmfulness and wrongness of different crimes).143 In light of these nonretributive punishment goals, a penalty can be disproportionate (or excessive) in two distinct and independent ways that correspond to ends-beneﬁts and alternative-means proportionality: (1) the costs and burdens of the sentence (or the added costs and burdens compared to a lesser penalty) may outweigh the likely beneﬁts (or added beneﬁts) produced by the sentence; and (2) the sentence may be disproportionate (that is, unnecessary and therefore excessive) when compared to other, less costly or burdensome means of achieving the same goals. Each of these utilitarian proportionality principles has ancient roots.

Punishment

163

1) Ends-Proportionality Principles The eighteenth-century philosopher Cesare Beccaria144 argued in favor of criminal penalties that are proportional to the seriousness of the offense, as measured by the harm done to society. In the early nineteenth century, Jeremy Bentham made several speciﬁc utilitarian arguments that favored punishments proportional to the seriousness of the offense. From the point of view of public resource allocation, “the greater an offence is, the greater reason there is to hazard a severe punishment for the chance of preventing it.”145 Similarly, from the point of view of the suffering imposed on the offender, Bentham argued that “the evil of the punishment [should not exceed] the evil of the offence.”146 He also noted the marginal deterrent value of penalties proportionate to offense severity: Offenders should “have a motive to stop at the lesser” crime.147 The utilitarian ends-proportionality principle has some elements in common with retributive proportionality—in particular, both principles require proportionality relative to offense severity. However, the two theories operate quite differently. First, retributive theory considers the harm caused or threatened by the defendant’s crimes and considers it just to punish in proportion to that harm; utilitarian theory also argues for punishment in proportion to the harm of the defendant’s crimes but only when this will prevent future similar crimes by this offender (through special deterrence, incapacitation, and/or rehabilitation) or will prevent such crimes by others (through general deterrence and norm reinforcement). Moreover, utilitarian theory considers not only the harm associated with a particular act similar to the defendant’s but also the aggregate harm caused by all such actions and the difﬁculty of detecting and deterring these actions.148 Second, retributive theory punishes in direct proportion not just to the actual or threatened harms associated with the offender’s crime but also to his culpability (e.g., intent, motive, role in the offense, diminished capacity). For utilitarians, such culpability factors are relevant only to the extent that they are related to the likely future beneﬁts of punishment (e.g., the dangerousness and deterrability of this offender or others). Finally, in choosing the proper sentence for a particular offender or group of similar offenders, retributive theory disregards the crime-control beneﬁts, as well as the collateral consequences of imposing punishment; proportionate sanctions are deemed inherently valuable. Utilitarian theory considers not only the actual crime-control or other beneﬁts produced by sanctions but also, as an offset against those beneﬁts, any undesirable collateral consequences of the sanction.149 One such consequence would be “reverse deterrence” (for instance, if a severe three-strikes law encourages felons to kill arresting ofﬁcers or potential witnesses). Other possible undesirable consequences of penalties that are grossly or frequently disproportionate to the conviction offense include undermining the public’s sense

164

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

of the relative gravity of different crimes, as well as public loss of respect for and willingness to obey and cooperate with criminal justice authorities. As philosopher H.L.A. Hart has said, “[If] the relative severity of penalties diverges sharply from this rough scale [of proportionality], there is a risk of either confusing common morality or ﬂouting it and bringing the law into contempt.”150 2) Means-Proportionality Limits on Sentence Severity This principle recognizes basic utilitarian efﬁciency values: Among equally effective means to achieve a given end, those that are less costly or burdensome should be preferred. In the punishment context, Norval Morris calls this the principle of parsimony.151 Cesare Beccaria argued that punishment must be not only proportionate to the crime but also “necessary, the least possible in the circumstances.”152 Jeremy Bentham similarly held that punishment itself is an evil and should be used as sparingly as possible; a measure should not be used if “the same end may be obtained by means more mild.”153 Numerous modern authors and model code drafters have endorsed this principle in some form,154 and as previous parts of this chapter have shown, unnecessarily-excessive-means arguments appear in numerous statutes and court opinions. 3) Distinguishing Ends- and Means-Proportionality Assessments Although ends- and means-proportionality assessments are conceptually distinct, some cases might seem to incorporate elements of both. The two proportionality concepts evaluate the excessiveness of a measure in very different ways—relative to the likely beneﬁts and to alternative means of achieving those beneﬁts—but some ends-proportionality assessments also involve comparisons to alternative means. If an allegedly excessive measure adds some additional net beneﬁt but also extra net costs or burdens relative to an alternative measure, the ends-beneﬁts proportionality question is whether the greater costs or burdens of the challenged measure (compared to the alternative measure) exceed (or grossly exceed) the likely added beneﬁts of the challenged measure. For example, if a court were to conclude that, in a given category of cases, the death penalty adds some constitutionally recognized net beneﬁt that would not be achieved by the alternative of life without parole, the court would then need to ask whether the added costs and burdens of capital punishment in such cases (grossly) exceed the added beneﬁts. On the other hand, if the court concluded that the death penalty adds no net beneﬁt that could not be achieved by means of less severe penalties, it would then need to engage in alternative-means analysis, and the question would be whether life without parole (or another effective alternative

Punishment

165

penalty) is so much less severe that the death penalty should be deemed (grossly) disproportionate. 4) Differences Between Public Policy and Constitutional Proportionality Analysis Utilitarian proportionality principles are deﬁned and applied differently in varying legal contexts and for different purposes. One of the most important distinctions has to do with which kinds of costs and burdens of a government measure are weighed against either the expected beneﬁts or alternative means. For public ofﬁcials and policy makers the public costs of a measure are very important elements in proportionality analysis: Measures should not cost (including public, as well as privately borne, costs and burdens) more than the beneﬁts they are expected to produce or more than effective alternative measures. However, when deﬁning a defendant’s constitutional right not to be subjected to an excessive sentence, the crime-control and other beneﬁts of the sentence should probably be weighed only against the burdens the sentence imposes on the defendant (ends proportionality), and alternative measures should be examined only in terms of their relative burdens on the defendant (means proportionality). The constitutional argument is that it is fundamentally unfair to impose severe burdens that greatly outweigh the expected public beneﬁts or to impose such burdens when effective alternative measures are much less burdensome. As a matter of sound public policy, it is also unwise, but probably not fundamentally unfair to the defendant, to impose a sentence that costs taxpayers more than the expected beneﬁts are worth or more than an effective alternative. Another difference between public policy and constitutional proportionality analysis relates to the inherent limits of constitutional limit setting. Public policy may strive for as close a ﬁt as possible between costs and beneﬁts and as efﬁcient a choice as possible among alternative means. However, when courts seek to enforce constitutional proportionality limits on sentencing, they should intervene only if the burdens on the defendant are clearly excessive relative to the beneﬁts or if equally effective alternative sanctions or other measures are clearly less burdensome.155 These inherent limits on judicial review decisions are reﬂected (but to an excessive degree) in the Supreme Court’s requirements of “gross disproportionality” under the Eighth Amendment. On the other hand, the appropriate deference courts should pay to policy decisions and case-speciﬁc assessments made by legislatures, executive ofﬁcials, and lower courts must not be used as an excuse for total abdication of judicial responsibility to protect defendants from abuse of governmental power. The limiting retributive and utilitarian proportionality principles described earlier are well established in Anglo-American jurisprudence, and courts should not hesitate

166

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

to apply them. Nor should they be deterred by the seeming subjectivity of these standards, reﬂecting the inherent limits of judicial review. A standard of “clear” or “gross” excessiveness, relative to retributive, ends-, and/or means-proportionality principles, is no more subjective than other standards commonly applied by reviewing courts, such as “reasonableness,” “compelling state interest,” “fair notice,” and “abuse of discretion.”

2. Sentencing Law and Practice in the United States In practice and sometimes also in theory, all modern sentencing systems explicitly or implicitly incorporate versions of the limiting retributive and endsproportionality principles discussed earlier. Many American systems also explicitly recognize the means-proportionality concept of sentencing parsimony. In so-called indeterminate sentencing systems, which are still the most common sentencing regimes in the United States,156 the statutory maximum sentence and occasional minimum-sentence requirements set upper and lower limits on sanction severity based solely on the offense of conviction (and in some cases prior convictions). Most of these systems lack an explicit rationale for the statutory maxima and minima, but since these limits are set solely on the basis of offense severity and prior offending, it appears that they reﬂect (albeit very crudely) retributive and ends-proportionality scaling of sanctions. Within the wide ranges these systems provide, judges and parole boards may tailor the sentence to reﬂect casespeciﬁc utilitarian (crime-control) purposes, as well as case-speciﬁc retributive assessments. The survival of so many indeterminate sentencing regimes, despite the widespread loss of faith in the rehabilitative goals that originally justiﬁed these systems, is probably due both to institutional inertia and vested interest and to the current popularity of incapacitation and other risk-management theories that, like rehabilitation, are assumed to require substantial case-level discretion. But at least part of the durability of these regimes, despite decades of sustained attack by sentencing theorists and reformers, may be due to the widespread support for a hybrid, limiting-retributive-based approach—one that recognizes desert-based upper and lower limits on sanction severity, within which other sentencing purposes may play a substantial role. A minority of American jurisdictions have at least partially replaced the indeterminate model with sentencing guidelines or statutory determinate sentencing systems.157 Guidelines and determinate sentencing systems vary dramatically, but they all involve recommended, proportionally scaled sentencing ranges— sometimes substantially narrower than the previous statutory ranges—based on the offender’s conviction offense and prior record. Several state guidelines systems

Punishment

167

explicitly base the recommended sentences on principles of desert, but all state and federal guidelines systems at least implicitly reﬂect a limiting retributive model; some also explicitly recognize the principle of parsimony.158 The Minnesota Sentencing Guidelines, in effect since 1980, provide a particularly strong example of a successful guidelines-based limiting retributive system in operation, one that incorporates an explicit just deserts basis for sanction scaling, reduced but (especially in practice) still quite substantial sentencing ranges, and an explicit recognition of the parsimony principle. The sentencing regime that has evolved in Minnesota bears a strong resemblance to Norval Morris’s limiting retributive model.159

3. Foreign Sentencing Laws and Decisions Each of the three proportionality principles we have identiﬁed enjoys widespread support in foreign and international sentencing laws. Although U.S. constitutional requirements must be deﬁned in terms of American legal, political, cultural, and historical traditions, the Supreme Court has occasionally found additional support for its decisions in the laws of other nations and under the terms of international human rights conventions.160 The following is a brief sampling of foreign and international law proportionality requirements in sentencing. Recent comparative sentencing scholarship reveals broad support for retributive and means-proportionality principles. There is general agreement among Western nations as to the deﬁnition of various crime-control punishment purposes, the most important aggravating and mitigating culpability and harm factors, and the overarching importance of the principles of offense-proportionality and parsimony (as noted earlier, the latter is a form of means proportionality).161 Proportionality appears to be deﬁned in terms more consistent with limiting than deﬁning retributivism—there is much greater emphasis on avoiding disproportionately severe sentences than unduly lenient ones, and courts are granted considerable ﬂexibility in mitigating penalties and choosing among sanction types. Sentencing proportionality is also explicitly recognized in international criminal prosecutions. The Statute of the International Criminal Court162 grants defense and prosecution rights to appeal a sentence on grounds that it is disproportionate to the crime and directs trial courts to take into account factors such as the gravity of the crime and the individual circumstances of the convicted person. Some excellent examples of constitutional sentencing proportionality requirements can be found in high court decisions from other common law countries. Applying the general proportionality requirements of the Canadian Charter of Rights and Freedoms, the Canadian Supreme Court held in Smith v. the Queen163

168

PROPORTIONALITY IN AMERICAN CRIMINAL JUSTICE

that a mandatory seven-year-minimum sentence for importing narcotics violated the charter. In reaching this conclusion, the court appeared to apply limiting retributive, ends-beneﬁts, and alternative-means proportionality standards. Section 12 of the charter bans “cruel and unusual treatment or punishment.” The Smith court appears to have assumed that Section 12 imposes a retributive standard and held the mandatory minimum penalty invalid under that standard; since the minimum penalty applied regardless of the drug type or quantity and the offender’s purposes or other characteristics, “it is inevitable that, in some cases, a verdict of guilt will lead to the imposition of a term of imprisonment which will be grossly disproportionate” to what the offender deserves.164 However, that ﬁnding was only the ﬁrst step in the proportionality analysis. Section 1 of the charter provides that charter rights may be subject to such “reasonable limits as may be demonstrably justiﬁed in a free and democratic society.” The court in Smith found that deterring drug importation was a goal “of sufﬁcient importance to warrant overriding the retributive limits of Section 12 (essentially, an ends-proportionality test).165 However, the court further held that the means chosen to pursue this goal were unnecessarily severe. Section 1 requires that, to override charter rights, the means chosen should impair those rights as little as possible, and the court held that the mandatory minimum statute in question failed this minimum impairment requirement—“We do not need to sentence the small offenders to seven years in prison in order to deter the serious offender.”166 Other examples of the application of multiple, independent constitutional sentencing proportionality standards appear in foreign cases that involve dangerous offenders. High courts in Canada, England, and South Africa have upheld lengthy indeterminate prison terms imposed on such offenders only where the conviction offense is very serious (retributive and/or ends proportionality) and provided further that there are provisions for periodic review of the offender’s dangerousness so that his detention continues no longer than is necessary to protect the public (means proportionality).167

CONCLUSION

all western nations face a tension between the need for administrative and penal regulation and the maintenance of individual rights and autonomy. Principles of proportionality have been widely used in other countries to assist courts in reconciling these competing interests and preserving the rule of law, but proportionality principles have been substantially underutilized in the United States. We have examined the operation of these principles in the law of war, in common law damages rules and antitrust remedies, in foreign jurisdictions, and in various standards of judicial review in American constitutional, statutory, and common law. Explicit and implicit proportionality principles have been applied in many different contexts and take a wide variety of forms, but they all have in common the fundamental value judgment that intrusive government and private actions should not be demonstrably excessive relative to their moral and practical justiﬁcations. Our primary emphasis is on the use of proportionality principles as an instrumental method of reviewing excessive government measures. We argue that more precise and consistent deﬁnition and application of proportionality principles will permit U.S. courts to better serve their vital roles as guardians of individual liberties and will make judicial review more rigorous, more transparent, and more disciplined. 169

170

PROPORTIONALITY PRINCIPLES IN AMERICAN LAW

Explicit principles of proportionality have been only occasionally adopted by U.S. courts. They have never been clearly deﬁned or harmonized. Thus, punitive damages awards must be “reasonable and proportionate”; a standard of “rough proportionality” applies to land-use conditions; federal legislation enacted to enforce rights protected by the Fourteenth Amendment is reviewed for “congruence and proportionality”; and a “gross disproportionality” standard is used when individuals challenge severe criminal penalties and forfeitures of property. The underdeveloped state of proportionality jurisprudence in the United States is not due to competition from any superior set of principles; there is currently no general theory of what factors or normative concepts permit courts to invalidate a government action on the grounds of excessiveness. Different factors and norms are cited in different legal contexts. Claims, for example, that legislative or executive measures unduly impinge on individual civil rights are subject to varying levels of judicial “scrutiny” (strict, intermediate, rational basis, and variants of each of these); searches and seizures are reviewed under a “reasonableness” standard; and limitations on the imposition of criminal liability are most often based on concepts of “fair notice.” The most widely applied of these standards, invoking varying levels of scrutiny, does not provide a satisfactory basis for a general theory of judicial review because its polar categories (rational basis and strict scrutiny) are inﬂexible rules, the choice of which is almost always outcome determinative; such rigid rules give judges too little discretion and tend to break down in practice.1 Moreover, the factors deemed relevant in applying each of these levels of scrutiny assume a purely utilitarian normative framework and consider only the asserted state interests and the degree to which measures are tailored to achieve them. Nonutilitarian concerns, in particular fairness and degrees of individual fault, are excluded. As a result of these differing and poorly articulated proportionality and other standards, courts are not consistent in carrying out their reviewing functions and face persistent criticisms that their decisions are unprincipled, too “activist,” or not active enough. A closer analysis of the multiple existing standards of judicial review, however, reveals more consistent patterns and a small number of proportionality concepts that are implicit in review standards across many areas of the law. In this book we have identiﬁed three basic ways in which government and private measures have been found to be disproportionate: (1) relative to fault (limiting retributive proportionality as to liability or sanction severity); (2) relative to the likely practical beneﬁts of the measure (ends-beneﬁts proportionality); and (3) relative to other ways of achieving the same purposes (alternative-means proportionality). We have examined the many forms these three basic legal proportionality concepts have taken in varying legal contexts and the different ways in which courts

Conclusion

171

have formulated standards of judicial review that embody them. We have sought to categorize, harmonize, and more clearly deﬁne both the existing judicial review standards and their underlying proportionality concepts. We conclude that proportionality has all of the prerequisites to serve an instrumental role in checking excessive government action. The widespread use of proportionality principles in American, foreign, and international law reﬂects their deep moral and philosophical roots. The variety of ways in which these principles have been formulated also shows that they can be applied to many different legal contexts by providing highly adaptable and useful analytic tools whenever courts and other policy makers are called upon to decide whether a governmental or private measure is excessive. Each principle can be tailored to ﬁt the particular context. In some situations, for example, the high value placed on individual rights at stake justiﬁes a strict version of means proportionality, equal to or approaching a “least restrictive means” requirement. In other contexts, the lesser value of rights and/or very high value of government interests at stake calls for a looser version, for example, requiring the government to choose another effective means only if it is substantially less burdensome (or the chosen means is grossly more burdensome). Courts may also accommodate contextual differences by varying burden-of-proof allocations. Proportionality principles would be even more useful if their ubiquity, variable forms, and common features were more widely recognized and the principles were deﬁned more clearly. This would permit borrowing of useful formulations developed in other legal contexts and encourage more frequent, more precise, and more consistent application of these principles, thereby improving not only the decisions courts must make but also the way in which those decisions are received and acted upon. Courts must protect citizens from excessive governmental measure without doing either too much or too little. They must also clearly and consistently explain their decisions to uphold or strike down challenged government measures so that these decisions are accepted by citizens and ofﬁcials and can provide clear guidance for future government action and the resolution of any further challenges. Existing standards of review often fail to meet any of these criteria. The proportionality principles we have identiﬁed incorporate all of the essential features of a uniﬁed standard of judicial review that effectively reconciles state and individual interests. As a threshold matter, the German principle of suitability, like the American rational basis test, will invalidate government actions that serve no legitimate public interest. If that test is not met, the challenged measure is invalid with no need to consider more complex proportionality tests. If the suitability test is met and the measure is a form of punishment or other penalty, then limiting retributive liability and severity principles are applied. These principles reﬂect the fundamental, nonutilitarian value judgment that it is unfair and

172

PROPORTIONALITY PRINCIPLES IN AMERICAN LAW

unacceptable for the state to impose severe punitive measures in the absence of individual culpability or in excess of an individual’s degree of culpability. Finally, if the suitability test and retributive limits are satisﬁed, courts should apply some version of the alternative-means and ends-beneﬁts proportionality principles. These tests, which apply independently, reﬂect widely shared utilitarian values: A government measure should not be demonstrably more burdensome than necessary to achieve its asserted purposes, nor should the burdens of the measure be excessive in comparison to its probable beneﬁts (given the importance of the asserted purposes, the measure’s likely success in achieving those objectives and any negative collateral consequences). Proportionality principles may be recognized under federal or state constitutional law or as a matter of common law or legislative policy. As our survey of U.S. law demonstrates, there is nothing novel about federal constitutional proportionality review. Moreover, there is no reason that the Supreme Court and lower courts should not explicitly endorse such review in a variety of contexts. Some may object that the principle of proportionality was not mentioned in the Constitution. Of course, neither was “strict scrutiny” or “the evolving standards of decency.” The Framers recognized that the Constitution cannot provide for every detail; they also acknowledged that the Constitution’s broad provisions are subject to legal rules of interpretation that derive from common sense and that the construction of a particular provision must be natural and reasonable.2 The widespread implicit application of the proportionality principles we have identiﬁed shows that they reﬂect fundamental values in our culture and legal order. It was natural and reasonable for courts to draw upon these principles when interpreting due process, reasonableness, and other constitutional provisions formulated in broad terms. The time has come for courts to recognize such principles explicitly. There is even more reason to recognize proportionality principles when state courts interpret state constitutional provisions and when courts and legislators deal with issues of nonconstitutional law. These decisions confront no issues of federalism and, since state and local ofﬁcials are either elected or appointed by elected state or local ofﬁcials, there are fewer issues of democratic legitimacy than when courts engage in federal constitutional review. The proposed introduction of explicit proportionality principles will not eliminate judicial deference to the government’s factual ﬁndings, nor should it. But such deference must not be blind; courts must defer only to well-detailed ﬁndings that justify the adopted measure in light of the desired result and available alternative measures. Nor will the use of these proportionality principles eliminate strict scrutiny analysis; that doctrine (which, as we have shown, implicitly incorporates ends- and means-proportionality principles) will be preserved for the matters to which it currently applies. A strong, rulelike presumption of invalidity will

Conclusion

173

continue to protect core fundamental rights and suspect classes from regulatory intrusion. This is in accord with the special treatment of core fundamental rights in jurisdictions such as Germany,3 which are strongly committed to the application of proportionality principles. In addition, proportionality principles are not needed and will not apply when government measures violate absolute values, such as those that prohibit extremely painful or degrading treatments under all circumstances. Proportionality will thus operate in matters that are currently governed by rational basis or intermediate scrutiny or that have not been assigned to any of the Court’s scrutiny levels (this includes most of the matters discussed in part II and all of the criminal justice matters discussed in part III). Proportionality principles will more effectively safeguard currently underprotected matters of individual autonomy in order to prevent the application of clearly undeserved measures, to lessen regulatory overinclusiveness, and to ensure that the burdens of government measures do not substantially outweigh the likely beneﬁts. Because these features make proportionality analysis substantially superior to the existing systems of constitutional review in the United States, we propose that it be adopted as a general standard of review.

This page intentionally left blank

NOTES

introduction 1. The concept of the rule of law has many formulations that are classiﬁed into formal and substantive theories. Brian Z. Tamanaha, On the Rule of Law: History, Politics, Theory 91 (Cambrige Univ. Press 2004). The central concept of the formal theory of the rule of law is formal legality: All government action is based on general, prospective, clear, and certain rules (idem). Substantive theories, in addition to formal legality, impose substantive restrictions on legal rules (idem). The “thickest” substantive theory of the rule of law, called the “social welfare” theory, promotes “substantive equality, welfare, and preservation of community” (idem). As such, a universal model of the rule of law exists not as a solid concept but as a combination of three “themes” necessary for any theory of the rule of law to function: government limited by law, formal legality, and rule of law, not people (idem at 114–26). In most modern liberal democracies, the concept of the rule of law—despite some tension between democracy and individual rights, mainly because the latter may be curtailed by democratic process and thus are threatened by it—assumes an interaction of formal legality, democracy, and individual rights (idem at 104–108, 110). Welfare states go even further by combining the rule of law with distributive equality—two values that are not mutually exclusive—to provide all of their citizens with an equal start (idem at 120).

175

176

Notes to Pages 4–5

The universal model of the rule of law would necessarily include a proportionality tool. Proportionality would be required for the rule of law theories that include a notion of individual rights and/or distributive equality to provide a mechanism to rationally limit government discretion. See idem (“Rule of law systems can also accommodate doing justice in an individual case, so long as the [formal] rules of law are departed from to achieve justice infrequently, under compelling circumstances.”). See also Vicki C. Jackson, Being Proportional about Proportionality, 21 Const. Comment. 803 (2004) (book review) (describing the way in which proportionality is becoming a term of art in constitutional law). 2. Formal legality requires “generality, clarity, public promulgation, stability over time, consistency between the rules and the actual conduct of legal actors, and prohibitions against retroactivity, against contradictions, and against requiring the impossible.” Tamanaha, supra note 1, at 93 (citing Lon L. Fuller, The Morality of Law ch. 2 (2d rev. ed., Yale Univ. Press 1969) ). 3. This goal is consistent with the substantive understanding of the rule of law. Tamanaha, supra note 1, at 91. 4. See generally David M. Beatty, The Ultimate Rule of Law (Oxford Univ. Press 2004) (advocating for the application of the principle of proportionality as the standard of review; also discussing the principle’s history in the United States). 5. See, e.g., Timmons v. Twin Cities Area New Party, 520 U.S. 351, 358 (1997) (holding that regulations that impose severe burdens on associational rights protected by the First Amendment must pass strict scrutiny). However, as noted in text, infra, enumerated “liberty” rights receive relatively little constitutional protection once a person has been found guilty of a criminal offense. 6. See Washington v. Glucksberg, 521 U.S. 702, 720–21 (1997). 7. See Roger P. Alford, In Search of a Theory for Constitutional Comparativism, 52 Ucla L. Rev. 639, 660 (2005) (stating that the natural law theory of individual autonomy is generally discredited as a constitutional theory). 8. See Lawrence v. Texas, 539 U.S. 558, 578 (2003) (“[The] right to liberty under the Due Process Clause gives [homosexuals] the full right to engage in their conduct without intervention of the government. ‘It is a promise of the Constitution that there is a realm of personal liberty which the government may not enter’” (quoting Planned Parenthood of Southeastern Pa. v. Casey, 505 U.S. 833, 847 (1992) ). This has not prevented constitutional scholars from interpreting the Court’s reference to “implicit ordered liberty” as an indicator of its implicit acceptance of the principles of natural human rights: Indeed, Lawrence suggests that natural law theory has continued currency in constitutional jurisprudence. Liberty is deﬁned in its broadest “transcendent dimensions” to include “freedom of thought, belief, expression, and certain intimate conduct” (Lawrence, 539 U.S. at 562). Lawrence offers a theory of constitutional anthropology that endows personhood with the freedom to deﬁne “one’s own concept of

Notes to Page 5

177

existence, of meaning, of the universe, and of the mystery of human life.” Lawrence, 539 U.S. at 574. “[M]ore than any other decision in the Supreme Court’s history” Lawrence also “presuppose[s] and advance[s] an explicitly equality-based . . . theory of substantive liberty.” Laurence H. Tribe, Lawrence v. Texas, The “Fundamental Right” That Dare Not Speak Its Name, 117 Harv. L. Rev. 1893, 1898 (2004). It all but embraces a Millean libertarianism that counsels against state attempts to impose relational boundaries absent injury to persons or protected institutions. Lawrence, 539 U.S. at 567; idem at 599 (Scalia, J., dissenting); Tribe, supra at 1938 & n.174. Alford, supra note 7, at 671–72 (alterations in original). 9. See, e.g., Griswold v. Connecticut, 381 U.S. 479, 519–20 (1965) (Black, J., dissenting). 10. “The enumeration in the Constitution, of certain rights, shall not be construed to deny or disparage others retained by the people.” U.S. Const. amend. IX. 11. See Roe v. Wade, 410 U.S. 113, 152–53 (1973) (listing the decisions in which the Court or individual justices found the constitutional roots of the fundamental rights—in this case, the right to privacy—by using a variety of constitutional provisions or theories, including ﬁnding the roots of the right of privacy in the First Amendment (see Stanley v. Georgia, 394 U.S. 557, 564 (1969)); in the Fourth and Fifth amendments (see, e.g., Terry v. Ohio, 392 U.S. 1, 8–9 (1968) ); in the penumbras of the Bill of Rights (Griswold, 381 U.S. at 484–85); and showing that the only reference to the Ninth Amendment for support in establishing an unenumerated right may be found in the concurrence of Justice Goldberg in Griswold, 381 U.S. at 486 (Goldberg, J., concurring)). See also Justice Douglas’s statement in his dissent in Olff v. East Side Union High School District that the word “liberty,” while not deﬁned in the Constitution, contains the fundamental rights retained by the people under the Ninth Amendment (404 U.S. 1042, 1044 (1972) (Douglas, J., dissenting) ) (quoting Griswold, 381 U.S. at 484). In his concurrence in Griswold, Justice Goldberg pointed out the fallacy of this concern, explaining that the Ninth Amendment is not to be used as an independent source of fundamental rights but rather that it textually demonstrates that there are unenumerated rights protected by the Constitution, determined on the basis of “ ‘traditions and (collective) conscience of our people’” to be so fundamental that they “cannot be denied without violating those ‘fundamental principles of liberty and justice which lie at the base of all our civil and political institutions’ ” (381 U.S. at 492–94 (Goldberg, J., concurring) ) (citations omitted). 12. See United States v. Carolene Products Co., 304 U.S. 144, 152 (1938) (“[R]egulatory legislation affecting ordinary commercial transactions is not to be pronounced unconstitutional unless in the light of the facts made known or generally assumed it is of such a character as to preclude the assumption that it rests upon some rational basis within the knowledge and experience of the legislators.”).

178

Notes to Pages 5–7

13. Constitutional limits on lengthy prison terms are further discussed in chapter 7. 14. United States v. Carolene Products Co., supra, 304 U.S. at 152. 15. See idem at 153 n.4. Criminal defendants, even prior to conviction, have not been deemed a vulnerable minority in need of special protection, even though they are precisely the kind of despised and powerless group that will not be adequately protected by normal political processes. See Richard S. Frase, Excessive Prison Sentences, Punishment Goals, and the Eighth Amendment: “Proportionality” Relative to What? 89 Minn. L. Rev. 571, 648–49 (2005), and infra part III. 16. United States v. Virginia, 518 U.S. 515 (1996). 17. Pike v. Bruce Church, Inc., 397 U.S. 137 (1970). 18. United States v. O’Brien, 391 U.S. 367 (1968). 19. See State Farm Mut. Auto. Ins. Co. v. Campbell, 538 U.S. 408 (2003); BMW of N. Am., Inc. v. Gore, 517 U.S. 559 (1996). 20. Dolan v. City of Tigard, 512 U.S. 374 (1994). 21. See Bajakajian v. United States, 524 U.S. 321 (1998). 22. See, e.g., Solem v. Helm, 463 U.S. 277, 284–86 (1983) (“The Eighth Amendment . . . prohibits not only barbaric punishments, but also sentences that are disproportionate to the crime committed…. The principle that a punishment should be proportionate to the crime is deeply rooted and frequently repeated in common-law jurisprudence.”); see also Roper v. Simmons, 543 U.S. 551 (2005) (holding that the Eighth and Fourteenth amendments prohibit as disproportionate the imposition of the death penalty on offenders who were under the age of eighteen when they committed the crime subject to that penalty). But see Ewing v. California, 538 U.S. 11, 31–32 (2003) (concurring opinions of Scalia and Thomas, JJ, concluding that the Eighth Amendment contains no proportionality guarantee). The Court’s Eighth Amendment punishment decisions are further discussed in chapter 7. 23. City of Boerne v. Flores, 521 U.S. 507, 545 (1997). 24. The many examples of explicit and implicit proportionality principles in U.S., foreign, regional, and international law are discussed in several of the authors’ published works. See, e.g., E. Thomas Sullivan, Antitrust Remedies in the U.S. and the E.U.: Advancing a Standard of Proportionality, 48 Antitrust Bulletin 377, 414–20 (2003); Frase, supra note 15 at 598–627. 25. Chapter 7 provides a more detailed discussion of these proportionality principles. 26. See HCJ 2056/04, Village Council v. Gov’t of Israel, 58(5) P.D. 807, para. 44 (statement of applicable proportionality principles) and paras. 59–61 (application of the principles to alternative measures that are not equally effective). This decision is also available in (2004) 43 I.L.M. 1099. 27. The intensity of proportionality review depends in large part on how clearly the principle is deﬁned; “[o]bviously, the more accurately the principle of proportionality is deﬁned, the more intensive the judicial review effected thereby will be.” Walter van Gerven, The Effect of Proportionality on the Actions of Member States of the European Community: National Viewpoints from Continental Europe,

Notes to Pages 7–15

179

in The Principle of Proportionality in the Laws of Europe 37, 61 (Evelyn Ellis ed., Hart 1999). It follows, then, that a legal system that incorporates the principle of proportionality may choose “how sophisticated the proportionality principle” should be (idem). Van Gerven has posited that the “constitutional nature of the legal system concerned, [] the nature of the acts to be assessed . . ., [] the importance of the interests involved and [] the variety of interests to be taken into account” should inform a system’s decision about the appropriate intensity of proportionality review (idem). 28. See generally Jackson, supra note 1, at 835–42; Kathleen M. Sullivan, The Justices of Rules and Standards, 106 Harv. L. Rev. 22 (1992). 29. Nicholas Emiliou, The Principle of Proportionality in European Law: A Comparative Study 142 (Kluwer Law Int’l 1996). 30. Despite the reluctance of some members of the Supreme Court to allow American legal theory to borrow from the experience of other nations, information about foreign and international experience has been seeping into the high court’s opinions to aid in the development of methods for treatment of issues already faced by foreign or international courts. See a recent debate between Justice Scalia and Justices Kennedy and O’Connor, on the place of international and foreign experience in the Court’s Eighth Amendment jurisprudence, in Roper v. Simmons, 543 U.S. 551 (2005). See also Vicki C. Jackson, Ambivalent and Comparative Constitutionalism: Opening Up the Conversation on “Proportionality,” Rights and Federalism, 1 U. Pa. J. Const. L. 583 (1999) (exploring the reasons for the “ambivalent resistance of U.S. constitutional law to explicit learning and borrowing from other nations’ constitutional decisions and traditions”).

part i 1. Hugo Grotius, The Rights of War and Peace Including the Law of Nature and of Nations (1625) (M. Walter Dunne 1901). 2. See infra notes 74–75 of chapter 1 and accompanying text. 3. See infra notes 92–104 of chapter 1 and accompanying text. 4. See infra ch. 3. 5. Idem. 6. See infra ch. 4.

chapter 1 1. Cicero, On Obligations bk. 1, § 11, available at http://www.oup.co.uk/pdf/ 0-19-924018-3.pdf. See also St. Augustine, City of God, bk. 19, ch. 12, available at http://www.ccel.org/ccel/schaff/npnf102.iv.XIX.12.html; 2 Pierino Belli, A Treatise on Military Matters and Warfare 59 (Herbert C. Nutting trans., Milford 1936) (writing that “in war there is no other objective than peace, and there is no peace apart from justice . . .”).

180

Notes to Pages 15–16

2. Cicero, supra note 1, bk. 1, § 11. 3. See Rebecca Grant, In Search of Lawful Targets, 86 Air Force Magazine 38, 38 (2003), available at http://www.afa.org/magazine/feb2003/02targets03.pdf (“The ﬁrst concepts of lawful conduct in war sought to make war an instrument of national policy rather than just an exercise in barbarity”). 4. St. Augustine, supra note 1. 5. Idem, bk. 19, ch. 7. 6. Idem. 7. St. Thomas Aquinas, The Summa Theologica (Benziger Bros. ed. 1947). 8. Idem, Second Part of the Second Part, question 40, art. 1. 9. Idem. 10. Idem. 11. Idem. 12. Idem. 13. Idem. 14. Idem. 15. Idem (quoting Augustine). 16. Idem. 17. Hugo Grotius, De Jure Belli ac Pacis (On the Law of War and Peace) (1625) (Francis W. Kelsey trans., Clarendon 1925), available at http://www.lonang. com/exlibris/grotius/gro-102.htm. 18. “Throughout the Christian world I observed a lack of restraint in relation to war, such as even barbarous races should be ashamed of; I observed that men rush to arms for slight causes, or no cause at all, and that when arms have once been taken up there is no longer any respect for law, divine or human; it is as if, in accordance with a general decree, frenzy had openly been let loose for the committing of all crimes.” Hugo Grotius, Prolegomena to the Law of War and peace 21 (Oskar Piest ed., Francis W. Kelsey trans., Liberal Arts Press 1957) (hereinafter Prolegomena). 19. Idem. 20. Idem at 18. Quite similarly, Sir Robert Phillimore, member of Her Majesty’s Honorable Privy Council and Judge of the High Court of Admiralty, described war as an “exercise of the international right of action, to which, from the nature of the thing and the absence of any common superior tribunal, nations are compelled to have recourse, in order to assert and vindicate their rights.” 3 Sir Robert Phillimore, Commentaries upon International Law 77 (2d ed. 1873). 21. Prolegomena, supra note 18, at 18. 22. Hugo Grotius, The Rights of War and Peace Including the Law of Nature and of Nations (1625) (M. Walter Dunne 1901), bk. 1, ch. 1, § 3, available at http:// oll.libertyfund.org/index.php?option=com_staticxt&staticﬁle=show.php%3Ftitl e=553&Itemid=27. 23. Idem. 24. Idem.

Notes to Pages 16–18

181

25. Idem, bk. 1, ch. 2, § 1. 26. Idem, § 3. 27. Idem, § 2. 28. Idem, § 5. 29. Idem, bk. 2, ch. 22, § 17 (“It is necessary to observe that a war may be just in its origin, and yet the intentions of its authors may become unjust in the course of its prosecution. . . . It is laudable, for instance, to maintain national honour; it is laudable to pursue a public or a private interest, and yet those objects may not form the justiﬁable grounds of the war in question”). 30. Idem, bk. 1, ch. 3, §§ 4–5. Accord Belli, supra note 1, at 6–11 (contending that, in general, sovereignty creates the right to declare war); Phillimore, supra note 20, at 77. 31. Grotius, supra note 22, bk. 2, ch. 22, § 4. 32. Idem, bk. 2, ch. 24, § 4. 33. Phillimore established the requirements of a just war as follows: that a war be waged by proper authority to restore a violated right and order among the states and that the means “must be in strict conformity with this end.” Phillimore, supra note 20, at 77–78. 34. Grotius, supra note 22, bk. 2, ch. 1, § 2. 35. Idem, bk. 2, ch. 1, § 16. 36. Hugo Grotius, De Jure Belli ac Pacis (On the Law of War and Peace) (1625) bk. 1, ch. 2, § 8 (Francis W. Kelsey trans., Clarendon 1925), available at http://www. lonang.com/exlibris/grotius/gro-102.htm. 37. Grotius, supra note 22, bk. 2, ch. 1, § 16. 38. Idem, § 17. 39. Idem. 40. Idem, bk. 2, ch. 23, § 6. 41. Idem, §§ 7–10. 42. Idem, bk. 2, ch. 24, § 4. 43. Idem, § 5. 44. Grotius did not use the word “proportionality” in this regard. Yet, the essence of the principles he elucidated in his treatise is quite similar to the present-day requirement of proportionality. 45. Grotius, supra note 22, bk. 2, ch. 24, § 5. 46. Idem. 47. Idem. 48. Idem. 49. Idem, § 9. 50. Idem, bk. 3, ch. 1, § 2. 51. Judith Gail Gardam, Proportionality and Force in International Law, 87 Am. J. Int’l l. 391, 397 (1993). 52. In fact, the full name of the convention is the Convention for the Amelioration of the Condition of Soldiers Wounded in Armies in the Field. Phillimore, supra note 20, at 157.

182

Notes to Pages 18–19

53. Geneva Convention of 1864, art. I, reprinted in Phillimore, supra note 20, at 157–60. 54. Idem, art. V, reprinted in Phillimore, supra note 20, at 158. Four years later, the international community addressed—in the St. Petersburg Declaration of 1868 Renouncing the Use, in Time of War, of Explosive Projectiles under 400 Grammes Weight, available at http://www.icrc.ch/IHL.nsf/FULL/130?OpenDocument (hereinafter Declaration)—the concept of military objective, whose importance lies in its being a benchmark against which to measure the proportionality of military means. See infra note 97 and accompanying text (showing the correlation between the principles of proportionality and military objective in the Geneva Convention of 1949). The document recognized weakening of the enemy’s military forces as the only legitimate military objective. Military force could not be used uselessly to “aggravate the sufferings of disabled men, or render their death inevitable.” Declaration, supra. 55. Phillimore, supra note 20, at 83. 56. Idem at 155. 57. Idem at 156. 58. Hague Convention respecting the Laws and Customs of War on Land, pmbl., Oct. 18, 1907, 36 Stat. 2277, 1 Bevans 631, available at http://www.icrc.ch/IHL.nsf/FULL/ 195?OpenDocument (hereinafter the Hague Convention). 59. Idem. The fact that the conventions codify the customary rules of war probably means these rules also apply to nonsignatory parties. 60. This convention was adopted at both peace conferences at The Hague. As the 1907 version made very few insigniﬁcant alterations in the text of the convention adopted in 1899, we refer to the 1907 text of the convention. 61. The Hague Convention, supra note 58, art. 22. 62. In line with the Geneva Convention of 1864, the Hague Convention prohibited the killing of surrendering enemy combatants (idem, art. 23(c) ). It also banned the use of poison and poisoned weapons (idem, art. 23(a) ) and condemned bombardment or attack by any other means of undefended cities (idem, art. 25). Moreover, it obliged military commanders to warn the authorities, “except in cases of assault,” of any impending bombardment (idem, art. 26). 63. The Hague Convention speciﬁcally prohibited any seizure or destruction of enemy property “unless such destruction or seizure be imperatively demanded by the necessities of war” (idem, art. 23(g)). 64. Brian D. Orend, War, in The Stanford Encyclopedia of Philosophy (Summer 2002 ed., Edward N. Zalta ed.), http://plato.stanford.edu/archives/sum2002/ entries/war (hereinafter War). 65. Idem. 66. While this is true, Judith G. Gardam argues that “the emergence, during the nineteenth century, of the opinion that resort to war was a sovereign right of states did not relegate proportionality in its jus ad bellum sense entirely to disuse.” Gardam, supra note 51, at 403. Gardam wrote that the doctrine of proportionality found its

Notes to Pages 19–21

183

jus ad bellum application in the customary rules of resorting to force that emerged, referring particularly to the Caroline incident (idem; see also infra notes 68–71 and accompanying text describing the Caroline incident). 67. See Gardam, supra note 51, at 403 (writing that the doctrine of proportionality worked with the customary rules providing justiﬁcations for uses of force). 68. Nicholas J. S. Davies, The Crime of War: From Nuremberg to Fallujah, Online Journal (2004), http://onlinejournal.com/artman/publish/article_82.shtml (last visited Mar. 20, 2008). 69. Idem. 70. Idem. 71. Idem (second omission in original). 72. None of the international documents adopted during the period between the two world wars added anything new to the application of the principle of proportionality in the law of armed conﬂict. However, other related measures were taken by the international community, including the prohibition of the use of asphyxiating, poisonous, or other gases and of bacteriological methods of warfare, as well as the adoption in 1929 of a new Convention for the Amelioration of the Condition of the Wounded and Sick in Armies in the Field and a new Convention relative to the Treatment of Prisoners of War. See International Committee of the Red Cross, International Humanitarian Law—Treaties & Documents, http://www.icrc.org/ihl.nsf/TOPICS?OpenView (last visited Mar. 20, 2008), for the full text of these and other treaties and international documents. 73. See supra note 2 and accompanying text. 74. UN Charter, art. 2, para. 4, available at http://www.un.org/aboutun/charter. 75. Idem, art. 51. 76. See War, supra note 64. 77. See, e.g., Military and Paramilitary Activities in and Against Nicaragua (Nicar. v. U.S.), 1986 I.C.J. 14, 94 (June 27). 78. Idem. 79. Idem at 122–23. 80. Idem at 120–23. 81. Idem at 122–23. 82. Idem at 123. 83. Oil Platforms (Iran v. U.S.), 2003 I.C.J. 161, 198 (Nov. 6). 84. The incident occurred in the midst of the Iran-Iraq War. 85. Oil Platforms, 2003 I.C.J. at 175. 86. Idem at 175–76. 87. Idem at 196–97. 88. Idem at 198. 89. Idem. 90. Idem. 91. Idem at 198–99.

184

Notes to Page 22

92. Legality of the Threat or Use of Nuclear Weapons, Advisory Opinion, 1996 I.C.J. 226, 259 (July 8) (hereinafter Advisory Opinion). 93. Gardam, supra note 51, at 411. 94. Advisory Opinion, 1996 I.C.J. at 266. 95. The International Criminal Tribunal for the Former Yugoslavia conﬁrmed this view. Prosecutor v. Galic, Case No. IT-98-29-T, Judgment, ¶ 58 n.104 (2003) (hereinafter Prosecutor v. Galic). The provisions of Article 57(2)(a)(iii) and (b) of Additional Protocol I require that a party refrain or cancel an attack if it is anticipated to cause “loss of civilian life, injury to civilians, damage to civilian objects, or a combination thereof, which would be excessive to the concrete and direct military advantage anticipated.” 96. The decision by a commander or other responsible person must be judged at the time it was made. This is in line with the language “an attack which may be expected to cause incidental loss” used in Articles 51(5)(b), 57(2)(a)(iii) and (b) of Additional Protocol I to the Geneva Convention of 1949. 97. Additional Protocol I to the Geneva Convention of 1949 art. 51(5)(b), available at http://www.icrc.ch/IHL.nsf/FULL/470?OpenDocument (hereinafter Protocol I); see also Prosecutor v. Galic, supra note 95, ¶ 58 (“The basic obligation to spare civilians and civilian objects as much as possible must guide the attacking party when considering the proportionality of an attack.”); 11 Trials of War Criminals Before the Nuremberg Military Tribunals 1253–54 (1950) (“There must be some reasonable connection between the destruction of property and the overcoming of enemy forces”). 98. Protocol I, supra note 97, art. 51(5)(b). 99. Gardam, supra note 51, at 407. But see U.S. Dep’t of Defense, Conduct of the Persian Gulf War: Final Report to Congress 697 (1992), available at http:// www.ndu.edu/library/epubs/cpgw.pdf (hereinafter Defense Report) (recognizing that the principle of proportionality “prohibits military action in which the negative effects . . . clearly outweigh the military gain” and arguing that the balancing may be done “in overall terms against campaign objectives”) (emphasis added). 100. Protocol I, supra note 97, art. 53. The article also prohibits the use of these objects in support of military effort. This prohibition applies to both the attacker and the defender. 101. Idem, art. 54. 102. Idem, art. 55. The Department of Defense explains that this provision is “not intended to prohibit battleﬁeld damage caused by conventional operations.” Defense Report, supra note 99 at 714. 103. Protocol I, supra note 97, art. 56(1) (“Works or installations containing dangerous forces, namely dams, dykes and nuclear electrical generating stations, shall not be made the object of attack, even where these objects are military objectives, if such attack may cause the release of dangerous forces and consequent severe losses among the civilian population”). The protection ceases when these facilities are

Notes to Pages 23–24

104.

105. 106. 107. 108.

109. 110. 111. 112. 113.

114. 115. 116.

185

employed in direct, regular, and signiﬁcant support of military operations and no other feasible way exists to stop this support (idem, art. 56(2)). Even when targeting legitimate military targets, any “excessive long-term damage to the economic infrastructure and natural environment with a consequential adverse effect on the civilian population” should be avoided. International Criminal Tribunal for the Former Yugoslavia (ICTY): Final Report to the Prosecutor by the Committee Established to Review the NATO Bombing Campaign Against the Federal Republic of Yugoslavia, 39 I.L.M. 1257, 1263 (2000) (hereinafter Final Report). The extent of allowable damage to the natural environment depends on the importance of the selected military target (idem). Any alternative, lessdamaging means of warfare must also be considered, though to be required they would have to be equally effective in attaining the military objective (idem). The commander has a certain amount of operational discretion in selecting the military target and balancing the likely damage with the beneﬁt from the completed military operation (idem). Prosecutor v. Galic, supra note 95, ¶ 58. Final Report, supra note 104, at 1271. Idem. According to Article 58 of Protocol I, supra note 97, parties to the conﬂict are required to remove civilians under their control from the vicinity of military objectives. Prosecutor v. Galic, supra note 95, ¶ 61; Final Report, supra note 104, at 1271. Final Report, supra note 104, at 1271–72. Idem. But see supra note 99 and accompanying text. Final Report, supra note 104, at 1282–83. Idem at 1283. The speciﬁc incidents include the attack on a passenger train in Grdelica Gorge on Apr. 12, 1999 (10 civilians killed, 15 injured; idem at 1273); the attack on the Djakovica Convoy on Apr. 14, 1999 (approximately 70–74 civilians killed; idem at 1275); the bombing of the Serbian TV and radio station RTS (estimated 17 civilians killed; idem at 1277); and the attack on the Chinese embassy in Belgrade on May 7, 1999 (3 Chinese citizens killed; idem at 1280). Gardam, supra note 51, at 409. Idem. Idem. See also Roger Normand & Chris af Jochnick, The Legitimation of Violence: A Critical Analysis of the Gulf War, 35 Harv. Int’l L.J. 387 (1994) (arguing that the U.S. military engaged in unnecessary destruction of Iraqi civilian infrastructure to “achieve economic or political objectives, rather than simply attacking military targets to defeat the Iraqi Army”). Realizing the importance of environmental protection against the effects of weapons used in armed conﬂict, the International Court of Justice held that “while the existing international law relating to the protection and safeguarding of the environment does not speciﬁcally prohibit the use of nuclear weapons, it indicates important environmental factors that are properly to be taken into account in the context of the implementation of the

186

Notes to Page 24

117. 118. 119.

120.

principles and rules of the law applicable in armed conﬂict.” Advisory Opinion, supra note 92, at 243. The United States Department of Defense attempted to justify the collateral civilian casualties and damage, arguing that they are inevitable when civilian and military objects are mingled together, a situation very often present in modern society. Defense Report, supra note 99, at 702. The Defense Department named several reasons that, in its opinion, justiﬁed the collateral civilian casualties and damage in the Persian Gulf War (idem). First, it contended that many objects in modern society have mixed military and civilian use (idem). For example, it noted that destruction of facilities essential to civilian life, such as bridges, highways, electrical power grids, and communications facilities, was vital because they also had signiﬁcant military functions (idem). A number of these facilities were located in urban areas, which increased the number of civilian casualties during the aerial attacks (idem). Second, it accused the Iraqi regime of using Iraqi and Kuwaiti civilian populations as shields of military objects and intentionally commingling civilian and military objects (idem at 699). The Defense Report stated that “[t]he presence of civilians will not render a target immune from attack” and that both the attacker and the defender are responsible to minimize civilian casualties: the attacker—by discriminating military targets and ensuring that minimal damage is done to civilian population and facilities; and the defender—by separating civilian population and objects from military objects (idem at 701). In its analysis, the Defense Department relied on customary international law because neither Iraq nor the United States was at the time a party to Protocol I, of which Article 49(1) impliedly imposes the obligation to minimize civilian casualties on both the attacker and the defender (idem at 691). The National Security Strategy of the United States of America 6 (September 2002) (hereinafter Nat’l Security Strategy). Idem. At the same time, no previous president has ever foresworn the use of a preemptive strike, even the ﬁrst use of tactical nuclear weapons in the European theater. See Todd E. Pettys, Our Anticompetitive Patriotism, 39 U.C. Davis L. Rev. 1353, 1404 (2006) (quoting Senator John Kerry, presidential debate in Coral Gables, Florida, 40 Weekly Comp. Pres. Doc. 2175, 2188 (Sept. 30, 2004) ). Forswearing the ﬁrst use of such weapons, it is argued, would weaken the “deterrence” rationale. See Strategic Deterrence and Nuclear War, 76 Am. Soc. Int’l L. Proceedings 23, 26 (Apr. 22–24, 1982) (comments by Eugene V. Rostow, director, U.S. Arms Control and Disarmament Agency). But clearly, not ruling out a preemptive strike is not the same as asserting it as an explicit, muscular foreign policy. Moreover, an overly aggressive explication of preemptive strike can have a counterintuitive effect on deterrence by causing other nations to take action to deter one—as in the case today of Iran and North Korea. In short, the intended deterrent effect can be undercut. Nat’l Security Strategy, supra note 117, at 15.

Notes to Pages 24–25

187

121. Idem. Accord Grotius, supra note 22, bk. 2, ch. 1, § 16; Neta C. Crawford, Just War Theory and the U.S. Counterterror War, 1/1 Perspectives on Politics 5, 14 (March 2003). 122. Nat’l Security Strategy, supra note 117, at 15. 123. Crawford, supra note 121, at 7. 124. Nat’l Security Strategy, supra note 117, at 15. One question that remains is whether attacking sovereign states that show some association with and support of the terrorist groups comports with the principles of just war. See Crawford, supra note 121 (discussing the weaknesses of the preemptive war doctrine and recognizing that the concept of “just war” may signiﬁcantly reduce the proportionality of self-defense because, when the declared mission is so broad as ﬁghting evil, the “self-defense and preemption tend to expand and may lead to military excess as ‘the search for a perfect or utopian (and perhaps one-sided) peace leads to the unnecessary prolongation and intensiﬁcation of war’ ”) (citation omitted). 125. Idem. 126. See Grotius, supra note 22, bk. 2, ch. 1, § 17. 127. See Jim Rutenberg, Conceding Missteps, Bush Urges Patience on Iraq, N.Y. Times, Oct. 26, 2006, A1. 128. See Ron Suskind, The One Percent Doctrine (Simon & Schuster 2006). 129. Nat’l Security Strategy, supra note 117, at 15. Cf. Crawford, supra note 121, at 8–12 (noting that some believe that the concept of war has been transformed after Sept. 11 because war is no longer always fought against a visible adversary—a sovereign state—which has a well-deﬁned territory, identiﬁable army, and the need for mobilization to launch an attack). 130. Colin L. Powell, U.S. Forces: Challenges Ahead, 71 Foreign Affairs 32, 40 (1992) (“Wars kill people. That is what makes them different from all other forms of human enterprise.”). 131. Grotius, supra note 22, bk. 2, ch. 23, §§ 7–10. See also idem, ch. 24, § 4. 132. Colin Powell served as a military advisor to Secretary Weinberger, who in 1984 articulated the six-part Weinberger Doctrine, which would be used to determine when and how to commit U.S. troops: “(1) vital national interests must be at stake; (2) overwhelming force must be employed to ensure victory; (3) political and military objectives must be clearly deﬁned; (4) force structures and dispositions must be adjusted as events on the ground dictate; (5) there must be ‘some reasonable assurance’ of public and congressional support; (6) force must be the last resort.” Robert C. Diprizio, Armed Humanitarians: U.S. Interventions from Northern Iraq to Kosovo 3 (Johns Hopkins Univ. Press 2002) (citing Casper W. Weinberger, “The Uses of Military Power,” address to the National Press Club, Washington, D.C., Nov. 28, 1984). 133. Powell, supra note 130, at 38. 134. See Diprizio, supra note 132, at 3. 135. Powell, supra note 130, at 40. 136. Idem.

188

Notes to Pages 25–27

137. 138. 139. 140. 141. 142.

143. 144. 145. 146.

147. 148. 149.

150. 151. 152.

See supra note 114 and accompanying text. See supra notes 43–47 and accompanying text. Powell, supra note 130, at 37–38. Idem at 38. Idem. The principle of proportionality has also found its way into a ﬁeld related to the law of war—international countermeasures. The International Court of Justice applied the principle of proportionality to countermeasures in The GabcikovoNagymaros Project (Hung./Slovk.), 1997 I.C.J. 7 (Feb. 5). The court said that a countermeasure must be proportionate to the injury suffered, taking into account the importance of the violated right. The Gabcikovo-Nagymaros Project, supra at 56. The court particularly held that Czechoslovakia unilaterally violated the principle of proportionality controlling a shared resource by preventing Hungary from enjoying its equitable share of the use of the Danube River (idem). According to the court, countermeasures are to be measured in relation to the injury suffered, not the wrong committed. This prevents the harm inﬂicted by the countermeasures from outweighing that of the original wrong. Mary Ellen O’Connell, Debating the Law of Sanctions, 13 Eur. J. Int’l L. 63, 76 (2002). O’Connell notes the indeterminacy of the principle of proportionality in dealing with international countermeasures, which indeterminacy, however, she argues can be overcome (idem at 77). Countermeasures may be kept in place for an indeﬁnite number of years (idem). “The potential effectiveness of the measures is not a fundamental criterion” (idem at 78). While most of the time countermeasures might not work, they tell the offending party that its deed will not go unpunished (idem). See Nicholas Emiliou, The Principle of Proportionality in European Law: A Comparative Study 5 (Kluwer Law Int’l. 1996). Part I of the Constitution Act, 1982, being Schedule B to the Canada Act 1982, ch. 11 (UK), available at http://laws.justice.gc.ca/en/const/index.html. Idem. See Yale Law Sch., Global Constitutionalism: Privacy, Proportionality, the Political Case IV-22–23 (Paul Gewirtz & Jacob Katz Cogan eds., Yale Law Sch. 2001) (hereinafter Global Constitutionalism) (quoting R. v. Oakes, [1986] 1 S.C.R. 103, 139–40). Idem at IV-22. Idem. Global Constitutionalism, supra note 146, at IV-24 (quoting Robert J. Sharpe & Katherine E. Swinton, The Canadian Charter of Rights and Freedoms 42–58 (1998) ). Idem. Idem (citing Quebec Ass’n of Protestant Sch. Bds. v. Quebec (A.G.), [1984] 2 S.C.R. 66). Idem (citing Zylberberg v. Sudbury (Bd. of Educ.), [1988] 52 D.L.R. (4th) 577 (Ont. C.A.) ).

Notes to Pages 27–28

189

153. [1998] 1 S.C.R. 493, cited in Global Constitutionalism, supra note 146, at IV-25 (quoting Sharpe & Swinton, supra note 149, at 42–58). 154. [1992] 2 S.C.R. 731, cited in Global Constitutionalism, supra note 146, at IV-25 (quoting Sharpe & Swinton, supra note 149, at 42–58). 155. R. v. Oakes, [1986] 1 S.C.R. 103, 139–40, quoted in Global Constitutionalism, supra note 146, at IV-22. 156. See Oakes, [1986] 1 S.C.R. at 139–40 (citing R. v. Big M Drug Mart Ltd., [1985] 1 S.C.R. 295, 352), quoted in Global Constitutionalism, supra note 146, at IV-22. 157. Oakes, 1 S.C.R. at 139–40, quoted in Global Constitutionalism, supra note 146, at IV-22–23. 158. Idem. 159. Global Constitutionalism, supra note 146, at IV-24 (quoting Sharpe & Swinton, supra note 149, at 42–58). 160. For instance, context affects the type of justiﬁcation and proof the court may require in a particular case. In R. v. Butler, the court held the Parliament’s “reasoned apprehension of harm” that obscenity may cause to society was sufﬁcient to rationally relate the prohibition of obscenity to prevention of “violence, cruelty, and dehumanization in sexual relations.” [1992] 1 S.C.R. 452, cited in Global Constitutionalism, supra note 146, at IV-28. Context has also been important in justifying the protection of vulnerable groups of people. Thomson Newspapers v. Canada (A.G.), [1998] 1 S.C.R. 877, quoted in Global Constitutionalism, supra note 146, at IV-28–29 (citing precedent supporting the notion that a group’s vulnerability, subjective fears of harm, and the “inability to measure scientiﬁcally a particular harm . . . are all factors of which the court must take account in assessing whether a limit has been demonstrably justiﬁed . . .”). 161. Global Constitutionalism, supra note 146, at IV-25 (quoting Sharpe & Swinton, supra note 149, at 42–58). 162. Oakes, [1986] 1 S.C.R. at 139–40 (citing R. v. Big M Drug Mart Ltd., [1985] 1 S.C.R. 295, 352), quoted in Global Constitutionalism, supra note 146, at IV-23. 163. Global Constitutionalism, supra note 146, at IV-26 (quoting Sharpe & Swinton, supra note 149, at 42–58). 164. Idem. 165. Ford v. Quebec (A.G.), [1988] 2. S.C.R. 712, cited in Global Constitutionalism, supra note 146, at IV-26 (quoting Sharpe & Swinton, supra note 149, at 42–58). 166. Global Constitutionalism, supra note 146, at IV-26 (quoting Sharpe & Swinton, supra note 149, at 42–58). 167. Peter W. Hogg, Section 1 Revisited, 1 Nat’l J. of Const. Law 1, 19 (1991), quoted in Global Constitutionalism, supra note 146, at IV-35. 168. Chief Justice Lamer wrote in Dagenais v. Canadian Broad. Corp., [1994] 3 S.C.R. 835, 887–90, quoted in Global Constitutionalism, supra note 146, at IV-30–31, that legislative measures may achieve the desired objective or part of the desired objective. This is why, he said, the balancing “requires both that the underlying objective of a measure and the salutary effects that actually result from its

190

Notes to Pages 28–29

169. 170. 171. 172. 173. 174.

175. 176.

177. 178. 179. 180.

181.

182.

183. 184. 185. 186.

implementation be proportional to the deleterious effects the measure has on fundamental rights and freedoms” (idem). Chief Justice Lamer explained that, while the importance of the objective may outweigh the contemplated negative effects of its implementation on individual rights, the actual results achieved may be “[in]sufﬁcient to justify these negative effects” (idem). R. v. Oakes, [1986] 1 S.C.R. 103, 139–40, quoted in Global Constitutionalism, supra note 146, at IV-23. Idem. Global Constitutionalism, supra note 146, at IV-27 (quoting Sharpe & Swinton, supra note 149, at 42–58). Idem at IV-29. See, e.g., idem at IV-32–34 (quoting Thomson Newspapers v. Canada (A.G.), [1998] 1 S.C.R. 877). Emiliou, supra note 143, at 66. Because Germany is a welfare state, the principle of proportionality is employed to control government discretion in advancing its social and economic policies to protect individual rights and preserve the formal legality necessary for any known model of the rule of law. See Brian Z. Tamanaha, On the Rule of Law: History, Politics, Theory 120 (Cambridge Univ. Press 2004). Emiliou, supra note 143, at 66 (citations omitted). Cannabis Case, BVerfGE 90, 145 (Constitutional Court of Germany 1994), reprinted in Global Constitutionalism, supra note 146, at IV-3, 5 (hereinafter Cannabis Case). See also Emiliou, supra note 143, at 65. Cannabis Case, supra note 176, at IV-5. Emiliou, supra note 143, at 65–66. Idem at 66. BVerfGE 80, 137 (Constitutional Court of Germany 1989), reprinted in Global Constitutionalism, supra note 146, at IV-14, 15 (hereinafter Reiten im Walde Case). Article 2(1) of the German Constitution says: “Everyone has the right to the free development of his personality insofar as he does not violate the rights of others or offend against the constitutional order or the moral code.” Grundgesetz für die Bundesrepublik Deutschland, art. 2(1) (federal constitution of Germany), available at http://www.psr.keele.ac.uk/docs/german.htm. Reiten im Walde Case, supra note 180, at IV-15 (second and third alterations in original). In this case, the court considered the right to ride horses in parks as protected under Article 2(1) of the constitution (idem). Cannabis Case, supra note 176, at IV-4. Cannabis Case, supra note 176, at IV-5; Reiten im Walde Case, supra note 180, at IV-15. Reiten im Walde Case, supra note 180, at IV-16. Cannabis Case, supra note 176, at IV-5; Reiten im Walde Case, supra note 180, at IV-15.

Notes to Pages 29–31

191

187. The actual name of the Constitution of Germany in English is “Basic Law of the Federal Republic of Germany.” See an English translation of the constitution at http://www.psr.keele.ac.uk/docs/german.htm (last visited Mar. 22, 2008). 188. Reiten im Walde Case, supra note 180, at IV-15 (alteration in original). 189. Idem. 190. Lebach Case, BVerfGE 35, 202 (Constitutional Court of Germany 1973), reprinted in Global Constitutionalism, supra note 146, at II-49, 50 (hereinafter Lebach Case). 191. Reiten im Walde Case, supra note 180, at IV-16–17. 192. Cannabis Case, supra note 176, at IV-3. 193. Idem at IV-6–9. 194. Idem at IV-6. 195. Idem at IV-8–9. 196. Idem at IV-10. 197. Idem. 198. Idem at IV-10–14. 199. Idem at IV-12–13. 200. Idem at IV-13–14. 201. Idem at IV-14. 202. Lebach Case, supra note 190, at II-49. 203. Idem at II-51. 204. Idem at II-50. 205. Idem at II-53. 206. Idem. 207. Idem at II-53–54. 208. Idem. 209. Reiten im Walde Case, supra note 180, at IV-14. 210. Idem. 211. Idem at IV-16. 212. Idem. 213. Idem at IV-16. 214. Idem at IV-16–17. 215. Idem at IV-17. 216. Idem. 217. Emiliou, supra note 143, at 96. 218. See idem at 97–111. 219. Idem at 97. 220. Idem. 221. See idem at 81–84. 222. Idem at 83. 223. Idem at 83, 97. 224. Idem at 83, 113–14. 225. Idem at 113.

192

Notes to Pages 31–33

226. Idem at 114. 227. Idem. 228. Konstytucja Rzeczypospolitej Polskiej, art. 6 (1952) (Constitution of the Republic of Poland), quoted in Global Constitutionalism, supra note 146, at IV-37. The current version of this provision is contained in Konstytucja Rzeczypospolitej Polskiej, art. 22 (1997) (Constitution of the Republic of Poland), available at http://www.sejm.gov.pl/prawo/konst/angielski/kon1.htm (last visited Mar. 20, 2008). 229. Decision dated Apr. 26, 1995, No. K. 11/94 (Constitutional Court of Poland), reprinted in Global Constitutionalism, supra note 146, at IV-37, 38. 230. Idem at IV-39. 231. Idem. 232. Idem at IV-40. 233. Idem. 234. Idem. 235. Idem at IV-40–41. 236. Idem at IV-41. 237. Idem. 238. Idem at IV-42. 239. See Criminal Code of Ukraine of 2001, art. 69 (unofﬁcial translation), available at http://www.legislationline.org/upload/legislations/2e/4b/e7cc32551f671cc10183dac 480fe.htm (last visited Mar. 20, 2008). 240. See idem. 241. Case Concerning the Authority of Criminal Courts to Impose a Lesser Sentence than Prescribed by the Law, Decision of the Constitutional Court of Ukraine No. 15-rp/2004, Nov. 2, 2004, 45 Oﬁtsiyniy Visnyk Ukrainy 41, art. 2975 (Nov. 26, 2004), available at http://zakon.rada.gov.ua/cgi-bin/laws/main.cgi?nreg=v015p710%2D 04&p=1107713872139426 (last visited Mar. 20, 2008) (in Ukrainian) (hereinafter Case Regarding Article 69). 242. Idem. 243. Idem. 244. Idem. 245. See Emiliou, supra note 143, at 134. The Fédéchar case, Case 8/55, Fédération Charbonnière de Belgique v. High Authority, 1954–1956 E.C.R. 292, 299, is the ﬁrst case where the European Court of Justice held that an administrative action must be proportionate to the scale of the illegal action (idem). The Fromançais case, Case 66/82, Fromançais SA v. Fonds d’orientation et de regularisation des marches agricoles (FORMA), 1983 E.C.R. 395, 404 (per curiam), developed the doctrine of proportionality further by indicating that necessity and proportionality in the narrower sense were the two elements of the test of proportionality (idem). The three-element deﬁnition of the principle of proportionality used in Germany was adopted by the European Court of Justice in Case C-331/88, The Queen v. Minister of Agriculture, Fisheries and Food and Secretary of State for Health, ex parte

Notes to Pages 33–34

193

Fedesa and others, 1990 E.C.R. I-4023, 4063 (per curiam), and Cases C-133, 300 & 362/93, Crispoltoni v. Fattoria Autonoma Tabacchi, 1994 E.C.R. I-4863, 4905. Idem (“The principle of proportionality . . . requires that measures adopted by Community institutions do not exceed the limits of what is appropriate and necessary in order to attain the objectives legitimately pursued by the legislation in question; when there is a choice between several appropriate measures recourse must be had to the least onerous, and the disadvantages caused are not to be disproportionate to the aims pursued.”); see also idem at 169 (“Indeed, German law has made perhaps the greatest contribution to the development of the general principles applied by the Court of Justice, including the principle of proportionality and the principle of protection of legitimate expectations”). 246. Idem at 169. 247. Idem at 135. 248. Idem. 249. Idem at 135–36. 250. Case 11/70, Internationale Handelsgesellschaft mbH v. Einfuhr- und Vorratsstelle fur Getreide und Futtermittel, 1970 E.C.R. 1125, 1136 (per curiam). 251. See Emiliou, supra note 143, at 136–37. 252. See, e.g., Treaty Establishing the European Community, arts. 34, 40, 88, & 192, available at http://europa.eu.int/eur-lex/lex/en/treaties/dat/12002E/htm/C_2002325 EN. 003301.html (last visited Mar. 20, 2008) (hereinafter EC treaty). 253. See, e.g., idem, arts. 5, 11, 18, & 42. 254. See, e.g., idem, art. 134. 255. See Emiliou, supra note 143, at 138 (citing Case 19/61, Mannesmann v. High Auth., 1962 E.C.R. 357, 371 (per curiam) (stating that the principle of proportionality was a manifestation of the “principle of justice”) ). 256. Idem at 139–42. See generally Paolo G. Carozza, Subsidiarity as a Structural Principle of International Human Rights Law, 97 Am. J. Int’l L. 38 (2003) (arguing in favor of the principle of subsidiarity’s utility in governing international human rights law). 257. EC treaty, supra note 252, art. 5. 258. Emiliou, supra note 143, at 139 (citing Commission of the European Communities (now European Commission), Task Force Report on the Environment and the Internal Market at X (December 1989). 259. Idem at 140. 260. EC treaty, supra note 252, art. 5. 261. Emiliou, supra note 143, at 140. 262. This is the European equivalent of the “congruence and proportionality” test for federal enforcement actions under Section 5 of the Fourteenth Amendment of the U.S. Constitution. 263. Emiliou, supra note 143, at 134 (quoting Case C-331/88, Fedesa, 1990 E.C.R. I-4023, 4063 (per curiam); Case 362/93, Crispoltoni, 1994 E.C.R. I-4863, 4905 (per curiam) ).

194

Notes to Pages 34–38

264. Idem at 189. 265. Idem at 191. 266. Idem. 267. Idem at 192 (citations omitted). The court reasoned that “[t]he legality of a Community act cannot depend on retrospective considerations of its efﬁcacy.” Where the future effect of a decision “cannot be accurately foreseen,” the legislature’s rule will be upheld unless “manifestly incorrect” given the information at its disposal when the rule was adopted. 268. Idem. 269. Idem (citing Case C-331/88, Fedesa, 1990 E.C.R. at 4063). 270. Idem. 271. Idem at 192–93. 272. Idem at 193. 273. Idem. 274. Idem. 275. Idem. 276. See Yutaka Arai-Takahashi, The Margin of Appreciation Doctrine and the Principle of Proportionality in the Jurisprudence of the ECHR (Intersentia 2002). Arai-Takahashi discusses the interplay of the doctrine of margin of appreciation and the principle of proportionality under the European Convention for Human Rights (ECHR).

chapter 2 1. Nicholas Emiliou, The Principle of Proportionality in European Law: A Comparative Study 129 (Kluwer Law Int’l 1996) (“When an English judge, for instance, states that byelaws made by local authorities would probably be held void on the ground of unreasonableness if they involved such oppressive or gratuitous interference with the rights of those subject to them as could ﬁnd no justiﬁcation in the minds of reasonable men, he reaches the same result a German jurist would reach by applying the principle of proportionality”) (citation and internal quotation marks omitted). 2. Idem at 39. 3. Idem. 4. Idem. 5. Idem. 6. (1854) 156 Eng. Rep. 145, 151 (Ex. Ct.); see also Restatement (Second) of Contracts § 351(1) (1981) (“Damages are not recoverable for loss that the party in breach did not have reason to foresee as a probable result of the breach when the contract was made”). 7. Evra Corp. v. Swiss Bank Corp. v. Cont’l Ill. Nat’l Bank & Trust Co. of Chicago, 673 F. 2d 951, 957 (7th Cir. 1982). 8. Idem at 958 (citation omitted).

Notes to Pages 38–40

195

9. 673 F. 2d 951 (7th Cir. 1982). 10. Idem at 956. 11. Restatement (Second) of Contracts § 351(3) (1981). 12. Idem § 351 cmt. f. 13. Idem. 14. The Supreme Court has not considered this theory, having only twice cited the Restatement (Second) of Contracts § 351, and in neither case subsection 3. See Hercules, Inc. v. United States, 516 U.S. 417, 431, 434 (1996) (Breyer, J., dissenting); Exxon Co., U.S.A. v. Sofec, Inc., 517 U.S. 830, 840 (1996). 15. See, e.g., Ak. Tae Woong Venture, Inc. v. Westward Seafoods, Inc., 963 P. 2d 1055 (Alaska 1998) (holding that a commercial ﬁshing company was not entitled to an extended award of lost proﬁts from a seafood processor who breached contract because it would be disproportionate to the defendant’s breach); Lamkins v. Int’l Harvester Co., 182 S.W. 2d 203 (Ark. 1944) (holding that the seller of a tractor is not liable for loss resulting from inability to plant crops because it was not reasonable to believe that he “tacitly consented to be bound for more than ordinary damages in case of default on his part”); Kerr S.S. Co. v. Radio Corp. of Am., 157 N.E. 140 (N.Y. 1927) (holding that “where the terms of a telegram give no hint of the nature of the transaction” and defendant had no notice that failure to deliver would result in special damage to the plaintiff, “the liability is for nominal damages or for the cost of carriage if the tolls have been prepaid”); Newsome v. W. Union Tel. Co., 69 S.E. 10 (N.C. 1910) (awarding only nominal damages to buyer of whiskey who claimed negligence in telegram transmittal because “[d]amages which are uncertain and speculative, or which are not the natural and probable result of the breach, are too remote to be recoverable”). But see Perini Corp. v. Greate Bay Hotel & Casino, Inc., 129 N.J. 479 (N.J. 1992) (ﬁnding ample evidence that a casino construction contractor was aware of the high stakes involved at the time of contracting and therefore rejecting the contractor’s argument that for a $600,000 contract it would not have accepted a risk of $14.5 million in liability). 16. Int’l Ore & Fertilizer Corp. v. SGS Control Serv., Inc. (Int’l Ore II), 38 F. 3d 1279 (2d Cir. 1994). 17. The district court relied on an earlier Second Circuit opinion in which the judge writing for the court explained, in dicta, that if SGS intended to assume the risk of such great liability ($547,688), it would have charged substantially more than $220 for its services. It would not have been rational for the company to enter into a contract where it knowingly risked so much for so little. Vitol Trading S.A., Inc. v. SGS Control Serv., 874 F. 2d 76, 81 (2d Cir. 1989). In Int’l Ore II, the appellate court explained that a majority of judges had not joined this part of the opinion. 38 F. 2d at 1284. 18. Int’l Ore & Fertilizer Corp. v. SGS Control Serv., Inc. (Int’l Ore I), 743 F. Supp. 250, 257 (S.D.N.Y. 1990). 19. Restatement (Second) of Contracts § 351 cmt. f (1981), construed in Int’l Ore I, 743 F. Supp. at 257.

196

Notes to Pages 40–41

20. Int’l Ore II, 38 F. 3d at 1281. 21. Idem at 1285. 22. Idem. The dissent in this case agreed with the district court that the contract damages were disproportionate because there was a great disparity between the contract price and the damages awarded and the plaintiff was in the better position to anticipate and avert the risk (idem at 1288–89; Mishler, J., dissenting). 23. Sundance Cruises Corp. v. Am. Bureau of Shipping, 7 F. 3d 1077 (2d Cir. 1993). 24. Idem at 1078–79. 25. Idem at 1084. 26. Idem. 27. Idem. 28. See R. Harper Heckman & Benjamin R. Edwards, Time Is Money: Recovery of Liquidated Damages by the Owner, 24 Construction Lawyer 28, 29 (Fall 2004), for a thorough discussion of the use and beneﬁts of liquidated damages provisions, including the ease in allocating damages associated with construction disputes, the creation of ﬁrm expectations for all parties involved about what damages for delay will be, the avoidance of signiﬁcant proof issues associated with establishing and quantifying a delay claim, and the potential savings of attorneys’ fees, expert fees, and other costs incident to “proving up” an owner’s delay damages. 29. Restatement (Second) of Contracts § 356 cmt. a (1981). 30. Priebe & Sons v. United States, 332 U.S. 407, 413 (1947). 31. See Restatement (First) of Contracts § 339 cmt. b (1932). 32. Restatement (Second) of Contracts § 356 cmt. a (1981). 33. Restatement (First) of Contracts § 339 cmt. b (1932). 34. E.g., United Airlines, Inc. v. Austin Travel Corp., 867 F. 2d 737, 740 (2d Cir. 1989) (citing as the general rule that liquidated damages provisions are upheld “unless the liquidated amount is a penalty because it is plainly or grossly disproportionate to the probable loss anticipated when the contract was executed”); In re Plywood Co. of Pa., 425 F. 2d 151, 155 (3d Cir. 1970) (“[T]he liquidated damages stipulated must not be disproportionate to the probable loss judged as of the time of making the contract.”); Sw. Eng’g Co. v. United States, 341 F. 2d 998, 1003 (8th Cir. 1965) (holding that “[w]here parties have by their contract agreed upon a liquidated damage provision as a reasonable forecast of just compensation for breach of contract, and damages are difﬁcult to estimate accurately, such provision should be enforced” even “if in the course of subsequent developments, damages prove to be greater than those stipulated”). See also Ridgley v. Topa Thrift and Loan Ass’n, 953 P. 2d 484, 488 (Cal. 1998) (concluding that a state statute limits the validity of liquidated damages provisions to those that bear a “reasonable relationship to the range of actual damages that the parties could have anticipated would ﬂow from a breach”); Hofer v. W.M. Scott Livestock Co., 201 N.W. 2d 410, 413 (N.D. 1972) (“A provision for payment of a stipulated sum as a liquidation of damages will ordinarily be sustained if it appears that at the time the contract was made the damages in the event of the breach will be incapable or very difﬁcult of accurate

Notes to Page 41

197

estimation, that there was a reasonable endeavor by the parties as stated to ﬁx fair compensation, and that the amount stipulated bears a reasonable relation to probable damages and not disproportionate to any damages reasonably to be anticipated.”) (quoting Anderson v. Cactus Heights Country Club, 125 N.W. 2d 491, 493 (S.D. 1963) ); Rio Grande Valley Sugar Growers, Inc. v. Campesi, 592 S.W. 2d 340, 342 n.2 (Tex. 1979) (“In order to enforce a liquidated damage clause, the court must ﬁnd: (1) that the harm caused by the breach is incapable or difﬁcult of estimation, and (2) that the amount of liquidated damages called for is a reasonable forecast of just compensation.”); Reliance Ins. Co. v. Utah Dept. of Transp., 858 P. 2d 1363, 1367 (Utah 1993) (“[I]f the parties were honestly trying to arrange in advance a fair basis for determining actual damages, it makes no difference whether this arrangement turns out to be too much or too little”) (citations omitted). 35. E.g., Lynch v. Andrew, 481 N.E. 2d 1383, 1386 (Mass. App. Ct. 1985) (“[C]ontract provisions which clearly and reasonably establish liquidated damages should be enforced, if not so disproportionate to the losses and expenses caused by the defendant’s breach as to constitute a penalty”) (citation and internal quotation marks omitted); Haromy v. Sawyer, 654 P. 2d 1022, 1023 (Nev. 1982) (“In order to prove a liquidated damage clause constitutes a penalty, the challenging party must persuade the court that the liquidated damages are disproportionate to the actual damages sustained by the injured party”); Wirth & Hamid Fair Booking v. Wirth, 192 N.E. 297, 301 (N.Y. 1934) (“[Liquidated damages] must bear reasonable proportion to the actual loss.”) (citing Seidlitz v. Auerbach, 129 N.E. 461 (N.Y. 1920) ); Ledbetter Bros., Inc. v. NCDOT, 314 S.E. 2d 761 (N.C. Ct. App. 1984) (enforcing liquidated damages provision where actual damages were at least 50 percent of liquidated damages assessed and liquidated damages amounted to only about 1.5 percent of the contract price). 36. E.g., Farmers Export Co. v. M/V Georgis Prois, etc., 799 F. 2d 159, 162 (5th Cir. 1986) (“The amount ﬁxed is reasonable if it approximates the actual loss that has resulted from a particular breach, even though it may not approximate the loss that might have been anticipated under other possible situations, or if the breach approximates the loss anticipated at the time of making the contract, even though it does not approximate the actual loss”) (citing Restatement (Second) of Contracts § 356 cmt. b (1981) ); Truck Rent-A-Center, Inc. v. Puritan Farms 2nd, Inc., 361 N.E. 2d 1015, 1018–19 (N.Y. 1977) (considering both that a “payment of a sum of money grossly disproportionate to the amount of actual damages provides for a penalty and is unenforceable” and that a liquidated damage provision must bear “a reasonable proportion to the probable loss” and concluding that the amount stipulated as liquidated damages was reasonably arrived at by the parties). 37. Restatement (Second) of Contracts § 356(1) (1981). 38. See idem § 351; supra part 1.4.1 (discussing foreseeable damages). 39. Restatement (Second) of Contracts § 356 cmt. b (1981). 40. Idem.

198

Notes to Page 42

41. See, e.g., 15 Corbin on Contracts §79.4 (rev. ed. 2003) (noting that the general freedom of contract encompasses the privilege of entering into a bargain and also having it enforced); Baltimore & Ohio Sw. Ry. Co. v. Voigt, 176 U.S. 498, 505 (1900) (“[T]he right of private contract is no small part of the liberty of the citizen, and . . . the usual and most important function of courts of justice is . . . to maintain and enforce contracts [rather] than to enable parties thereto to escape from their obligations on the pretext of public policy, unless it clearly appear [sic] that they contravene public right or the public welfare”). See generally Charles Fried, Contract as Promise: A Theory of Contractual Obligation (Harvard Univ. Press 1981) (defending the classical theory of contract and arguing that the law should protect the right of autonomous individuals to impose obligations on themselves by an exercise of free will that the state and its courts must respect); Richard A. Epstein, Toward a Revitalization of the Contract Clause, 51 U. Chi. L. Rev. 703 (1984) (arguing for a revitalization of the contract clause to protect economic liberties from judicial interference); G. Richard Shell, Contracts in the Modern Supreme Court, 81 Cal. L. Rev. 433 (1993) (comparing the modern Supreme Court’s jurisprudence to that of previous eras and concluding that the modern Court, by favoring strict enforcement of agreements, has made a radical break with the Warren Court where public policy defenses to contract are concerned). 42. 205 U.S. 105 (1907); see also Sw. Eng’g Co. v. United States, 341 F. 2d 998, 1003 (8th Cir. 1965) (ﬁnding that the fact that the party seeking the liquidated damages suffered no actual damages did not preclude an award of liquidated damages); Heckman & Edwards, supra note 28, at 31 (“It is not unfair to hold the contractor performing the work to such agreement [liquidated damages clause] if by reason of later developments damages prove to be less or nonexistent. Each party by entering into such contractual provision took a calculated risk and is bound by reasonable contractual provisions pertaining to liquidated damages.”). 43. Bethlehem Steel, 205 U.S. at 119. The Court explained that in the past courts tended to construe liquidated damages provisions as penalties and would award nothing but actual damages. Later, however, “the courts became more tolerant of such provisions, and have now become strongly inclined to allow parties to make their own contracts, and to carry out their intentions, even when it would result in the recovery of an amount stated as liquidated damages, upon proof of the violation of the contract, and without proof of the damages actually sustained” (idem). In addition, courts are also willing to uphold liquidated damages provisions that set the damages signiﬁcantly lower than actual damages. Parties may disclaim consequential damages, subject only to unconscionability review. See Paul B. Marrow, The Unconscionability of a Liquidated Damages Clause, 22 Pace L. Rev. 27, 35 (2001). 44. Idem at 121. 45. Sun Printing & Publ’g Ass’n v. Moore, 183 U.S. 642, 668–71 (1902) (rejecting the idea that disproportion alone voids a liquidated damages provision and holding that “the stipulation for value . . . was binding upon the parties, the trial court

Notes to Pages 42–44

199

rightly refused to consider evidence tending to show that the admitted value was excessive, and the circuit court of appeals properly gave effect to the expressed intention of the parties”). The Court further stated that when the parties’ intent was clear, a court of law could not invalidate a disproportionate liquidated damages provision even if a court of equity could properly do so (idem at 674, quoting Clement v. Cash, 21 N.Y. 253, 257 (N.Y. 1860) ). 46. Idem at 673. 47. Wise v. United States, 249 U.S. 361, 366–67 (1919). 48. Sun Printing, 183 U.S. at 672–73. 49. Idem at 642. 50. Idem at 662. 51. Idem. 52. Idem at 672–73. 53. Idem at 664. 54. Idem at 672. 55. Bethlehem Steel, 205 U.S. 105, 121 (1907). 56. Kothe v. R.C. Taylor Trust, 280 U.S. 224 (1930). 57. Idem at 226. 58. Idem. 59. Idem. 60. 20 U.S. 13 (1822) (holding that a payment of $1,000 dollars in case of failure to ﬁnish building houses by a certain date was an unenforceable penalty). 61. Idem at 18. 62. Idem at 17. 63. 241 U.S. 184 (1916). 64. Idem at 190. See also Wise v. United States, 249 U.S. 361 (1919). 65. Robinson v. United States, 261 U.S. 486, 488 (1923). But see Priebe & Sons v. United States, 332 U.S. 407, 413 (1947) (reasoning that if the parties intended the liquidated damages provision to be “an added spur to performance” or to create security, the court will determine it a penalty). 66. Tayloe, 20 U.S. at 17. Contra Grenier v. Compratt Constr. Co., 454 A. 2d 1289 (Conn. 1983) (looking beyond the label applied in the contract documents to the reasonableness of the clause itself and enforcing a liquidated damages provision that was expressly labeled as a penalty). 67. Tayloe, 20 U.S. at 15. 68. Idem at 18. The Court further explained that any amount of money paid for nonperformance is a penalty and will not be considered liquidated damages unless the parties prove such (idem at 17). 69. 249 U.S. 361 (1919). 70. Idem at 364. 71. Idem at 367. 72. See United States v. Carroll Towing Co., 159 F. 2d 169, 173 (2d Cir. 1947). 73. Idem.

200

Notes to Pages 44–46

74. See Restatement (Third) of Torts: Liability for Physical Harm § 3 (2005). 75. See, e.g., McIntyre v. Balentine, 833 S.W. 2d 52 (Tenn. 1992). 76. 421 U.S. 397 (1975). See also Donald J. Polden & E. Thomas Sullivan, Contribution and Claim Reduction in Antitrust Litigation: A Legislative Analysis, 20 Harv. J. Legis. 397 (1983). 77. Reliable Transfer, 421 U.S. at 405. 78. Idem at 407. 79. Idem at 407, 411. The Supreme Court has made clear that despite the adoption of proportionate damages, the proximate cause requirement and related superseding cause doctrine still apply. See Exxon Co., U.S.A. v. Sofec, Inc., 517 U.S. 830 (1996). The system “apportions damages based upon comparative fault only among tortfeasors whose actions were proximate causes of an injury” (idem at 837). 80. 511 U.S. 202 (1994). See also supra note 76. 81. Idem at 204. 82. Idem at 221 (citation omitted). 83. Pro tanto means “to that extent,” “for so much,” or “as far as it goes.” Black’s Law Dictionary 1259 (8th ed. 2004). A pro tanto approach to calculating the appropriate contribution of nonsettling defendants subtracts the actual dollar amount of any settlement with codefendants from the total judgment awarded. 84. The Court rejected the ﬁrst approach, pro tanto setoff with a right of contribution, which “discourages settlement, because settlement can only disadvantage the settling defendant.” McDermott, 511 U.S. at 211. In addition, it leads to unnecessary ancillary indemniﬁcation litigation (idem at 212). 85. The Court rejected the second approach, pro tanto setoff without contribution, because it was less in line with the Reliable Transfer rule and was likely to lead to inequitable apportionments of liability (idem at 212–13). 86. Idem at 212. The Court concluded that the pro tanto rule came at “too high a price in unfairness” and the proportionate share approach would also lead to a high settlement rate due to “[t]he parties’ desire to avoid litigation costs, to reduce uncertainty, and to maintain ongoing commercial relationships” (idem). 87. Idem at 209. In the ﬁeld of antitrust and competition law see D.J. Polden & E.T. Sullivan, supra note 76; E. Thomas Sullivan, New Perspectives in Antitrust Litigation: Towards a Right of Comparative Contribution, 1980 U. Ill. L. Rev. 389 (1980). 88. See Gerber v. MTC Elec. Tech. Co., 329 F. 3d 297 (2d Cir. 2003) (approving of the use of a “capped proportionate share” formula when determining a judgment credit in a securities class action settlement, under which formula credit would be the greater of the pro tanto rule or proportionate share rule, using defendant’s proportion of fault as proven at trial); Denney v. Jenkens & Gilchrist, 230 F.R.D. 317, 325 n.32, 339–40 (S.D.N.Y. 2005) (recognizing proportionate share as a valid way of determining a judgment credit in a class action settlement in a RICO case); In re Worldcom, Inc. ERISA Litig., 339 F. Supp. 2d 561, 568–69 (S.D.N.Y. 2004) (holding that the proportionate share judgment reduction formula was appropriate in a class action settlement in an ERISA case).

Notes to Pages 46–48

201

89. 443 U.S. 256 (1979). 90. The Longshore and Harbor Workers’ Compensation Act, 33 U.S.C. § 901 (2000). 91. Edmonds, 443 U.S. at 281 (Blackmun, J., dissenting). 92. Idem (majority opinion). 93. Antitrust damages are automatically trebled under 15 U.S.C. §15 (2000). Congress originally created treble damages in 1890 as a statutory deterrent; this is not a common law development. 94. 429 U.S. 477, 489 (1977) (quoting Zenith Radio Corp. v. Hazeltine Research, 395 U.S. 100, 125 (1969) ) (alteration in original). 95. See Los Angeles Memorial Coliseum Commission v. National Football League, 791 F. 2d 1356, 1371–73 (9th Cir. 1986), for a good analysis of the required causal link between a remedy and the harm to be redressed (idem at 1372). 96. 431 U.S. 720, 746 (1977). 97. Idem. 98. Gregory Mktg. Corp. v. Wakefern Food Corp., 787 F. 2d 92, 98 (3d Cir. 1986). 99. Idem. 100. Idem (quoting Mid-West Paper Prods. Co. v. Continental Group, 596 F. 2d 573, 587 (3d Cir. 1979) ). Accord Loeb Indus., Inc. v. Sumitomo Corp., 306 F. 3d 469, 483 (7th Cir. 2002) (“[T]he antitrust laws create a system that, to the extent possible, permits recovery in rough proportion to the actual harm a defendant’s unlawful conduct causes in the market without complex damage apportionment. This scheme at times favors plaintiffs (Hanover Shoe [Inc. v. United Shoe Machinery Corp., 392 U.S. 491 (1968)]) and at times defendants (Illinois Brick [supra]), but it never operates entirely to preclude market recovery for an injury”); In re Indus. Gas Antitrust Litig., 681 F. 2d 514, 520 (7th Cir. 1982) (“Thus, the conﬂicting interests of deterrence through private antitrust enforcement and redress for injury must be balanced against the avoidance of excessive treble damages litigation. An appropriate balance is achieved by granting standing only to those who, as consumers or competitors, suffer immediate injuries with respect to their business or property, while excluding persons whose injuries were more indirectly caused by the antitrust conduct”); Montreal Trading Ltd. v. Amax Inc., 661 F. 2d 864, 867 (10th Cir. 1981) (“With a treble damages entitlement, the result [of allowing indirect purchasers to recover] could be multiple recoveries and total damage awards wholly out of proportion with ‘the fruits of the illegality,’ easily bankrupting the named defendants”). 101. See generally E.T. Sullivan, supra note 87, at 403–15 (discussing proportionality in connection with antitrust injunctive/structural remedies). 102. FTC v. Nat’l Lead Co., 352 U.S. 419, 428–31 (1957) (holding that an FTC order may sweep so broadly as to prevent the violator of competition laws from using lawful means to violate the law and that the respondents “must remember that those caught violating the [antitrust laws] must expect some fencing in”); United States v. U.S. Gypsum Co., 340 U.S. 76, 88–89 (1950); United States v. Paramount Pictures, 334 U.S. 131, 148 (1948); Int’l Salt Co. v. United States, 332 U.S. 392, 400

202

Notes to Pages 48–51

103.

104. 105. 106. 107. 108. 109.

(1947) (“When the purpose to restrain trade appears from a clear violation of law, it is not necessary that all of the untraveled roads to that end be left open and that only the worn one be closed. The usual ways to the prohibited goal may be blocked against the proven transgressor and the burden put upon him to bring any proper claims for relief to the court’s attention”). But see Zenith Radio Corp. v. Hazeltine Research, Inc., 395 U.S. 100, 132–33 (1969) (stating that a remedial order may be issued to stop the illegal conduct and to prevent related unlawful acts from occurring in the future, thus allowing the judicial remedial power to extend outside the particular conduct found illegal in the case under consideration but limiting such extension only to “related unlawful acts”) (citation omitted; emphasis added). United States v. E.I. Du Pont de Nemours & Co., 366 U.S. 316, 326 (1961) (“The key to the whole question of an antitrust remedy is of course the discovery of measures effective to restore competition.”); Gypsum, 340 U.S. at 88 (“A trial court upon a ﬁnding of a conspiracy in restraint of trade and a monopoly has the duty to compel action by the conspirators that will, so far as practicable, cure the ill effects of the illegal conduct, and assure the public freedom from its continuance.”); Jacob Siegel Co. v. FTC, 327 U.S. 608, 612–13 (1946) (requiring that the selected remedy rationally relate to the unlawful practices); New York v. Microsoft Corp., 224 F. Supp. 2d 76, 110 (D.D.C. 2002) (noting that, despite the rule that an antitrust remedy could exceed the speciﬁc anticompetitive conduct, the restrictions that form part of the remedial order must be closely related to the anticompetitive conduct). 253 F. 3d 34 (D.C. Cir. 2001). Idem at 106 (alterations in original; citations and internal quotation marks omitted; emphasis added). See also Microsoft, 231 F. Supp. 2d at 220. See supra part 2.2.1. United States v. U.S. Gypsum Co., 340 U.S. 76, 89–90 (1950). 340 U.S. 76. Idem at 89–90.

part ii 1. Yale Law Sch., Global Constitutionalism: Privacy, Proportionality, the Political Case IV-60 (Paul Gewirtz & Jacob Katz Cogan eds., Yale Law Sch. 2001) (hereinafter Global Constitutionalism). 2. See Kathleen M. Sullivan, The Justices of Rules and Standards, 106 Harv. L. Rev. 22, 61 (1992) (“Balancing tests have inﬁltrated modern constitutional law to the extent that categorical two-tier review is incompletely realized or breaks down. The label ‘intermediate scrutiny’ situates these standards between the bipolar rule-like tiers of strict review and rationality review.”). 3. See Erwin Chemerinsky, Constitutional Law 529–31 (Aspen Pub. 2001); Global Constitutionalism, supra note 1, at IV-61–63.

Notes to Pages 51–52

203

4. E. Thomas Sullivan, Antitrust Remedies in the U.S. and the E.U.: Advancing a Standard of Proportionality, 48 Antitrust Bulletin 377, 418–20 (2003) (cataloging the uses of the principle of proportionality in American jurisprudence). 5. See State Farm Mut. Auto. Ins. Co. v. Campbell, 538 U.S. 408, 426 (2003) (“In sum, courts must ensure that the measure of punishment is both reasonable and proportionate to the amount of harm to the plaintiff and to the general damages recovered.”); BMW of N. Am., Inc. v. Gore, 517 U.S. 559, 569 (1996). 6. Dolan v. City of Tigard, 512 U.S. 374, 391 (1994) (adopting a test of “rough proportionality” to determine whether the burden imposed by the city building permit conditions bore reasonable relationship to the projected impact of a proposed development). 7. City of Boerne v. Flores, 521 U.S. 507, 545 (1997) (“[W]hether Congress has exceeded its § 5 powers turns on whether there is a ‘congruence and proportionality between the injury to be prevented or remedied and the means adopted to that end.’ ”). 8. See supra note 22 of Introduction and accompanying text. See generally Richard S. Frase, Excessive Prison Sentences, Punishment Goals, and the Eighth Amendment: “Proportionality” Relative to What? 89 Minn. L. Rev. 571, 598–627 (2005). 9. United States v. Bajakajian, 524 U.S. 321, 334 (1998) (“The touchstone of the constitutional inquiry under the Excessive Fines Clause is the principle of proportionality: The amount of the forfeiture must bear some relationship to the gravity of the offense that it is designed to punish. . . . We now hold that a punitive forfeiture violates the Excessive Fines Clause if it is grossly disproportional to the gravity of a defendant’s offense.”). 10. The Court added a third tier, intermediate scrutiny, to the system of standards in gender discrimination, dormant commerce clause, and content-neutral speech restriction cases. See supra Introduction. According to Kathleen Sullivan, intermediate scrutiny is the only true standard among the three tiers of review because, unlike the categorical rules of strict scrutiny and rational basis, intermediate scrutiny allows for judicial discretion in balancing competing values. K.M. Sullivan, supra note 2, at 61. 11. See idem at 60 (“One analogue in modern constitutional law to old-time categorization is the Court’s post–New Deal effort to establish a ﬁxed two-tier system of judicial review: strict scrutiny for fundamental liberties and suspect classes; deferential rationality review for garden-variety socioeconomic legislation. True, these tiers employ nominal balancing rhetoric, but the Court ties itself to the twin masts of strict scrutiny and rationality review in order to resist (or appear to resist) the siren song of the sliding scale. Bipolar two-tier review did penance for the appearance of naked value choices that had brought the Court into disrepute in the Lochner era. Thus, in true categorical fashion, two-tier review generally decides cases through characterization at the outset, without the need for messy explicit balancing. The classiﬁcation at the threshold cuts off further serious debate: ‘this is an x case and therefore the government (or rightholder) wins.’ This is a rule-like regime.”) (footnotes omitted).

204

Notes to Pages 52–53

12. See idem. 13. See supra notes 5 and 7. 14. See, e.g., Harmelin v. Michigan, 501 U.S. 957 (1991) (upholding a sentence of life without parole for drug possession by a ﬁrst offender). The Court’s prison proportionality cases are further discussed in a later chapter. 15. See supra notes 8–9.

chapter 3 1. Global Constitutionalism: Privacy, Proportionality, the Political Case, the compilation of materials on constitutional law published by Yale Law School, mentions the strong criticism of the Supreme Court’s then two-tier model of equal protection review by Justice Thurgood Marshall. Yale Law Sch., Global Constitutionalism: Privacy, Proportionality, the Political Case IV-62–63 (Paul Gewirtz & Jacob Katz Cogan eds., Yale Law Sch. 2001) (hereinafter Global Constitutionalism). At ﬁrst blush, it may seem that Justice Marshall’s criticism would have been satisﬁed with the emergence of intermediate scrutiny in gender classiﬁcation cases. Indeed, he argued that the rigid two-tier system of equal protection review no longer represented the state of the Supreme Court’s jurisprudence and the needs of modern society: “However understandable the Court’s hesitancy to invoke strict scrutiny, all remaining legislation should not drop into the bottom tier, and be measured by the mere rationality test.” Bd. of Ret. v. Murgia, 427 U.S. 307, 319 (1976) (Marshall, J., dissenting), quoted in Global Constitutionalism, supra, at IV-63. However, the Court has not been quick to extend the application of intermediate scrutiny into areas other than gender classiﬁcations. 2. In several cases where the Court announced the application of the rational basis test, the level of scrutiny was less deferential than expected under mere rationality. See, e.g., Lawrence v. Texas, 539 U.S. 558 (2003) (striking down a law criminalizing consensual sodomy between individuals of the same sex in the privacy of their home); Romer v. Evans, 517 U.S. 620 (1996) (striking down an amendment to the Colorado Constitution, adopted by a voting initiative, that banned laws prohibiting discrimination based on sexual orientation); City of Cleburne v. Cleburne Living Ctr., 473 U.S. 432 (1985) (declaring unconstitutional a local zoning ordinance that prevented the operation of a home for people with a mental disability). 3. See supra notes 10–12 of Part II’s introduction and accompanying text. Kathleen Sullivan argues that, because “[i]t deﬁnes bright-line boundaries and then classiﬁes fact situations as falling on one side or the other,” which at the outset predetermines the outcome of judicial review of cases implicating a range of interests, the two-tier system of judicial constitutional scrutiny is rulelike. Kathleen M. Sullivan, The Justices of Rules and Standards, 106 Harv. L. Rev. 22, 59–60 (1992). 4. Idem. See also United States v. Virginia, 518 U.S. 515, 567 (1996) (Scalia, J., dissenting).

Notes to Pages 53–55

205

5. See, e.g., Cleburne, 473 U.S. 432 (rational basis with bite); Craig v. Boren, 429 U.S. 190 (1976) (intermediate scrutiny). 6. Vieth v. Jubelirer, 541 U.S. 267, 294 (2004); see also Erwin Chemerinsky, Constitutional Law 529 (Aspen Pub. 2001). 7. Griswold v. Connecticut, 381 U.S. 479, 503–504 (1965) (White, J., concurring). 8. Clark v. Jeter, 486 U.S. 456, 461 (1988) (“Classiﬁcations based on race or national origin and classiﬁcations affecting fundamental rights are given the most exacting scrutiny.”) (citations omitted). See also Chemerinsky, supra note 6, at 528–29, 698–99. 9. Griswold, 381 U.S. at 504. 10. Idem. 11. 304 U.S. 144, 153 n.4 (1938). 12. See Cannabis Case, BVerfGE 90, 145 (Constitutional Court of Germany 1994), reprinted in Global Constitutionalism, supra note 1, at IV-3, 5 (hereinafter Cannabis Case). 13. 539 U.S. 306, 326 (2003) (citations omitted). 14. Idem at 326–27. 15. Idem at 326. 16. Grutter, 539 U.S. 306. 17. Idem at 328. 18. Idem. But see Gratz v. Bollinger, 539 U.S. 244 (2003) (holding that assigning more weight to race than to other personal factors in the admissions process to an undergraduate program violated the Equal Protection Clause). 19. See, e.g., Grutter, 539 U.S. at 350 (Thomas, J., dissenting). Justice Thomas, in particular, contended that strict scrutiny requires a rigorous analysis of each government objective proffered to justify the use of race in government decisions (idem at 351–54). In support of his statement, Justice Thomas referred to Korematsu v. Unites States, 323 U.S. 214 (1944), and Richmond v. J.A. Croson Co., 488 U.S. 469 (1989), to describe the type of review required by strict scrutiny. 20. Idem at 333–41. 21. Idem at 341. 22. Idem. 23. Idem. The dissenters contended that using race as a plus in the admissions process was not a necessary means for achieving student diversity. See, e.g., idem at 361–62 (Thomas, J., dissenting). They claimed that the majority overlooked lowering the admissions requirements as an equally effective race-neutral alternative (idem at 366–67). 24. See, e.g., BVerfGE 80, 137 (Constitutional Court of Germany 1989), reprinted in Global Constitutionalism, supra note 1, at IV-14, 17 (hereinafter Reiten im Walde Case) (balancing the rights of horseback riders and hikers to use park trails). 25. 505 U.S. 833 (1992). 26. Idem at 878 (plurality decision).

206

Notes to Pages 56–58

27. Idem. 28. 410 U.S. 113 (1973). 29. Idem at 163. 30. Idem at 163–64. 31. Loving v. Virginia, 388 U.S. 1 (1967). 32. Skinner v. Oklahoma ex rel. Williamson, 316 U.S. 535 (1942). 33. Pierce v. Society of the Sisters of the Holy Names of Jesus & Mary, 268 U.S. 510 (1925); Meyer v. Nebraska, 262 U.S. 390 (1923). 34. Griswold v. Connecticut, 381 U.S. 479 (1965). 35. Eisenstadt v. Baird, 405 U.S. 438 (1972); Griswold, 381 U.S. 479. 36. Rochin v. California, 342 U.S. 165 (1952). 37. Cruzan v. Dir., Mo. Dep’t of Health, 497 U.S. 261 (1990). 38. See Chemerinsky, supra note 6, at 695–799. 39. Planned Parenthood of Se. Pa. v. Casey, 505 U.S. 833, 878 (1992) (plurality decision). 40. See supra note 6 and accompanying text. 41. See supra note 10 of part II. 42. Chemerinsky, supra note 6, at 330. 43. Idem. 44. 397 U.S. 137 (1970). 45. Idem at 142. 46. See, e.g., Lebach Case, BVerfGE 35, 202 (Constitutional Court of Germany 1973), reprinted in Global Constitutionalism, supra note 1, at II-49, 49–50 (hereinafter Lebach Case) (measuring and comparing the importance of the competing constitutional interests of the right of individuals to maintain their personal dignity and the media’s right to provide information). 47. See, e.g., Bibb v. Navajo Freight Lines, Inc., 359 U.S. 520 (1959) (doubting the suitability of rear-wheel contoured mud ﬂaps on trucks and trailers to achieve trafﬁc safety on state roads based on the lower court’s ﬁnding that the contoured mud ﬂap “possesses no advantages over the conventional or straight mud ﬂap previously required in Illinois”). 48. Pike, 397 U.S. at 142. 49. Idem. 50. See, e.g., Lebach Case, supra note 46, at II-49–55 (balancing the right to free speech and the individual rights of a convicted felon to privacy). 51. See Global Constitutionalism, supra note 1, at IV-63–68 (brieﬂy describing the evolution of Justice Breyer’s proposal for the application of the principle of proportionality in American free speech jurisprudence). 52. 528 U.S. 377, 402 (2000). 53. United States v. O’Brien, 391 U.S. 367, 377 (1968) (“Whatever imprecision inheres in these terms, we think it clear that a government regulation is sufﬁciently justiﬁed if it is within the constitutional power of the Government; if it furthers an important or substantial governmental interest; if the governmental interest is

Notes to Pages 58–60

207

unrelated to the suppression of free expression; and if the incidental restriction on alleged First Amendment freedoms is no greater than is essential to the furtherance of that interest.”). 54. Turner Broad. Sys., Inc. v. F.C.C., 512 U.S. 622, 642 (1994). 55. Idem at 641–42. Some exceptions exist to the application of strict scrutiny to content-based speech regulation (idem), but their discussion is outside the scope of this work. 56. 391 U.S. 367 (1968). 57. Idem at 377. 58. Nicholas Emiliou, The Principle of Proportionality in European Law: A Comparative Study 25, 134 (Kluwer Law Int’l 1996). 59. O’Brien, 391 U.S. at 377. 60. Emiliou, supra note 58, at 25, 134. 61. Turner Broad. Sys., Inc. v. F.C.C., 512 U.S. 622, 662 (1994) (“To satisfy this standard, a regulation need not be the least speech-restrictive means of advancing the Government’s interests. ‘Rather, the requirement of narrow tailoring is satisﬁed so long as the . . . regulation promotes a substantial government interest that would be achieved less effectively absent the regulation’ ”) (quoting Ward v. Rock Against Racism, 491 U.S. 781, 799 (1989); alteration in original; internal quotation marks omitted). 62. O’Brien, 391 U.S. at 377. 63. Emiliou, supra note 58, at 25, 134. There is a tendency among the European courts to dilute the requirement of strict necessity when reviewing social and economic regulation. See, e.g., idem at 32 (explaining that in Germany, “[i]n the area of regulation of the economy . . . the legislature has been granted a wide scope for intervention [of basic economic rights].”). 64. Turner Broad. Sys., 512 U.S. at 662. 65. See Emiliou, supra note 58, at 25, 134. 66. Broadrick v. Oklahoma, 413 U.S. 601, 615 (1973). 67. Idem at 613. 68. Virginia v. Hicks, 539 U.S. 113, 119 (2003). 69. 539 U.S. 113 (2003). 70. Idem at 124 (refusing to apply the overbreadth doctrine because the regulation under consideration did not affect any protected speech but instead was aimed at preventing unlawful conduct on the territory of a fenced residential community). 71. Idem at 122 n.3. 72. Idem at 119–20. 73. Idem at 122. 74. Idem at 124 (quoting Broadrick v. Oklahoma, 413 U.S. 601, 615 (1973) ). 75. Idem. 76. Central Hudson Gas & Elec. Corp. v. Pub. Serv. Comm’n of N.Y., 447 U.S. 557, 565 (1980). 77. Idem at 566. 78. Idem.

208

Notes to Pages 60–61

79. Idem. 80. Idem (emphasis added). 81. Compare Greater New Orleans Broad. Ass’n, Inc., 527 U.S. 173, 188 (1999) (“The Government is not required to employ the least restrictive means conceivable, but it must demonstrate narrow tailoring of the challenged regulation to the asserted interest . . .”) and Bd. of Trustees of the State Univ. of N.Y. v. Fox, 492 U.S. 469, 480 (1989) (“[W]e have not gone so far as to impose upon [would-be regulators] that . . . the manner of restriction is absolutely the least severe that will achieve the desired end. What our decisions require is a ﬁt between the legislature’s ends and the means chosen to accomplish those ends—a ﬁt that is not necessarily perfect, but reasonable; that represents not necessarily the single best disposition but one whose scope is in proportion to the interest served; that employs not necessarily the least restrictive means, but . . . a means narrowly tailored to achieve the desired objective.”) (citations and internal quotation marks omitted) with 44 Liquormart, Inc. v. Rhode Island, 517 U.S. 484, 507 (1996) (invalidating a law as violative of the First Amendment because “[i]t is perfectly obvious that alternative forms of regulation that would not involve any restriction on speech would be more likely to achieve the State’s goal . . .”) and Rubin v. Coors Brewing Co., 514 U.S. 476, 491 (1995) (holding that “the availability of . . . options, all of which could advance the Government’s interest in a manner less intrusive to respondent’s First Amendment rights, indicates that [the statute in question] is more extensive than necessary”). See also Central Hudson, supra, 447 U.S. at 564 (“the regulatory technique must be in proportion to [the state’s] substantial interest”); Chemerinsky, supra note 6, at 1061–67. 82. Central Hudson Gas & Elec. Corp. v. Pub. Serv. Comm’n of N.Y., 447 U.S. 557 (1980). 83. Idem at 570–72. 84. Idem at 570. 85. Idem at 571 (explaining that the commission could have attempted to correct the language of the advertising to avoid negative effects on its goal of conserving the energy); see also Beneﬁcial Corp. v. FTC, 542 F. 2d 611, 618–20 (1976) (holding that a “remedy for the perceived violation can go no further in imposing a prior restraint on protected commercial speech than is reasonably necessary to accomplish the remedial objective of preventing the violation” and that the commission could have chosen a less restrictive remedy). See generally E. Thomas Sullivan, First Amendment Defenses in Antitrust Litigation, 46 Mo. L. Rev. 517, 538–42 (1981). 86. Central Hudson, 447 U.S. at 566 n.8. 87. United States v. Virginia, 518 U.S. 515, 533 (1996). 88. Idem. 89. Idem (quoting Califano v. Webster, 430 U.S. 313, 320 (1977) (per curiam) (alteration in original). 90. Idem (quoting Cal. Fed. Sav. & Loan Ass’n v. Guerra, 479 U.S. 272, 289 (1987); alteration in original). 91. Idem.

Notes to Pages 61–63

209

92. Idem at 534. 93. United States v. Carolene Products Co., 304 U.S. 144, 152 (1938). 94. Idem. 95. Heller v. Doe by Doe, 509 U.S. 312, 320–21 (1993). 96. Romer v. Evans, 517 U.S. 620, 631 (1996); Heller, 509 U.S. at 320–21. 97. U.S. R.R. Ret. Bd. v. Fritz, 449 U.S. 166, 178 (1980) (discussing what legitimate objectives Congress could have proffered for the challenged legislation). 98. 508 U.S. 307, 315 (1993) (quoting Lehnhausen v. Lake Shore Auto Parts Co., 410 U.S. 356, 364 (1973) ). 99. Ry. Express Agency, Inc. v. New York, 336 U.S. 106, 110 (1949). 100. N.Y. City Transit Auth. v. Beazer, 440 U.S. 568, 592–93 (1979). 101. Heller v. Doe by Doe, 509 U.S. 312, 321 (1993). 102. See United States v. Carolene Products Co., 304 U.S. 144, 152 (1938). See also idem at 152 n.4. 103. Chemerinsky, supra note 6, at 470 (describing the pressure for the Court to provide more deference to government socioeconomic regulations). 104. 198 U.S. 45 (1905). 105. Idem at 57–58. 106. Idem at 57. 107. Idem at 61–62. 108. Idem at 57. 109. Idem. 110. Adkins v. Children’s Hosp. of D.C., 261 U.S. 525, 557 (1923) (invalidating the challenged minimum wage law because it was one sided and did not take into account the employer’s ability or inability to sustain the burden of a minimum wage). 111. Coppage v. Kansas, 236 U.S. 1 (1915) (invalidating as contrary to the freedom of contract a state law that prohibited an employer from demanding that its employees not join a trade union). 112. Weaver v. Palmer Bros. Co., 270 U.S. 402 (1926) (invalidating a law that prohibited the use of shoddy in comfortables because there was no evidence that “any sickness or disease was ever caused by the use of shoddy”). 113. 291 U.S. 502 (1934). 114. Idem at 523 (footnotes omitted). 115. United States v. Carolene Products Co., 304 U.S. 144, 152 (1938). Ordinarily, the Supreme Court has been criticized for undermining the principle of federalism by striking down state laws that intrude on individual autonomy. Gonzales v. Raich, 545 U.S. 1 (2005), presents a converse situation. Using a rational basis standard of review, the Court in Raich held that the federal law prohibiting the manufacture, distribution, or possession of marijuana did not violate the commerce clause when it was applied to intrastate growers and users of marijuana for medical purposes, whose use and cultivation of the drug was authorized by a recently enacted California law. Thus, instead of protecting individual autonomy, the Supreme Court used the commerce clause to curb state initiatives aimed at expanding it.

210

Notes to Pages 64–68

116. 117. 118. 119. 120. 121. 122. 123. 124. 125. 126. 127.

128. 129. 130. 131. 132. 133. 134.

135. 136.

413 U.S. 528 (1973). Idem at 529. Idem at 538. Idem at 534. Idem. Idem at 536. Idem at 538. 473 U.S. 432 (1985). Idem. Idem at 444–47. Idem at 444. Idem at 445. The Court noted a number of other reasons why it refused to afford persons with a mental disability a quasi-suspect status. One reason was that such persons are not politically powerless, given the broad political support for actions in their protection (idem). Another is even more attenuated. The Court explained that, because “it would be difﬁcult to ﬁnd a principled way to distinguish” those with a mental disability from other groups of individuals who also suffer from certain immutable disabilities, relative political powerlessness, and minimal public prejudice, it was “reluctant to set out on that course” and “decline[d] to do so” (idem at 445–46). Idem at 450. 517 U.S. 620 (1996). Idem at 632. Idem at 631. 539 U.S. 558 (2003). Idem at 578–79. Idem. The Court indicated that the defined liberty was not absolute and that it could, under certain circumstances—like those involving minors, public exposure, or harm to third parties—be overridden by a strong public interest (idem at 578). Importantly, the Court excluded morality alone from the list of possible countervailing interests (see idem). The Court in dictum suggested, however, that the decision in this case did not entitle homosexual persons to seek government recognition of any relationship they desired to establish (idem). See supra note 24. See Emiliou, supra note 58, at 41–43.

chapter 4 1. See supra notes 102–15 of chapter 3 and accompanying text; see generally supra ch. 3. 2. The word “punitive” means “relating to punishment; having the character of punishment or penalty; inﬂicting punishment or a penalty.” Black’s Law Dictionary 1234 (6th ed. 1990).

Notes to Pages 68–69

211

3. State Farm Mut. Auto. Ins. Co. v. Campbell, 538 U.S. 408, 416 (2003) (citing Cooper Indus., Inc. v. Leatherman Tool Group, Inc., 532 U.S. 424, 432 (2001) (citing Restatement (Second) of Torts § 903 (1979))). 4. See Thomas B. Colby, Beyond the Multiple Punishment Problem: Punitive Damages as Punishment for Individual, Private Wrongs, 87 Minn. L. Rev. 583, 618 (2003) (relating that in the nineteenth century, after a signiﬁcant broadening of the concept of actual damages, punitive damages lost their compensatory gloss and became strictly deterrent and retributive in nature). 5. Idem (citing Cooper Indus., 532 U.S. at 438 n.11); see also BMW of N. Am., Inc. v. Gore, 517 U.S. 559, 568 (1996); Pac. Mut. Life Ins. Co. v. Haslip, 499 U.S. 1, 19 (1991). 6. BMW, 517 U.S. at 568. 7. St. Louis, I.M. & S. Ry. Co. v. Williams, 251 U.S. 63, 66 (1919). 8. Haslip, 499 U.S. at 17. 9. Williams, 251 U.S. at 66–67. 10. BMW, 517 U.S. 559. The Court had invalidated a punitive damages award on one prior occasion. It held in Southwestern Telegraph & Telephone Co. v. Danaher that, because there was “no intentional wrongdoing, no departure from any prescribed or known standard of action, and no reckless conduct,” the $6,300 penalty inﬂicted on the company was “so plainly arbitrary and oppressive as to be nothing short of a taking of its property without due process of law” (238 U.S. 482, 490–91 (1915) ). We do not place this decision on the same level with Gore because we believe the Court’s reasoning in Danaher hinged on the impropriety of any punitive damages award in that case rather than on the excessiveness of the amount of punitive damages. 11. 492 U.S. 257 (1989). 12. Idem at 260. 13. Idem at 275. 14. Justices Brennan and Marshall joined the opinion only with the understanding that the door was not closed for due process challenges of punitive damages (idem at 280). 15. Idem at 278–80. 16. 499 U.S. 1 (1991). 17. Idem at 23–24. 18. Idem at 17. 19. 509 U.S. 443 (1993). 20. Idem at 457–58. 21. Idem at 457. 22. Idem at 458. 23. Idem at 462. Using potential harm as the measure of the plaintiff ’s injury compared to the amount of punitive damages makes the guidepost of the constitutionally allowable ratio less reliable due to the fact that potential harm, unlike direct harm, is in great measure based on speculation about future events.

212

Notes to Pages 69–70

24. 517 U.S. 559 (1996) (striking down as excessive an award of $2 million in punitive damages to a customer for the harm resulting from the dealer’s failure to notify the customer that he was purchasing at full price a BMW automobile that had been repainted). 25. 538 U.S. 408 (2003) (striking down as excessive an award of $145 million, where the compensatory damages amounted to only $1 million for bad-faith failure to settle within policy limits, fraud, and intentional inﬂiction of emotional distress). 26. See, e.g., BMW, 517 U.S. at 568. 27. Idem. 28. Idem. In addition to substantive due process requirements, the Supreme Court established several procedural safeguards against arbitrary punitive damages awards. See Cooper Indus., Inc. v. Leatherman Tool Group, Inc., 532 U.S. 424 (2001) (requiring de novo appellate review of punitive damages awards); Honda Motor Co. v. Oberg, 512 U.S. 415 (1994) (holding that the due process clause of the Fourteenth Amendment requires judicial review of jury punitive damages awards); Pac. Mut. Life Ins. Co. v. Haslip, 499 U.S. 1 (1991) (requiring postverdict review of punitive damages awards by jury). 29. BMW at 572–73. 30. State Farm, 538 U.S. at 421. Pamela Karlan has argued that this aspect of proportionality “is about federalism” (Pamela S. Karlan, “Pricking the Lines”: The Due Process Clause, Punitive Damages, and Criminal Punishment, 88 Minn. L. Rev. 880, 913 (2004) ). Karlan argued that while “[t]here is relatively little constitutional limitation on the sort of behavior a state can criminalize or for which it can impose civil liability . . . there is some constitutional limit on the degree of permissible deviation from national norms” (idem). Thus, the principle of proportionality protects states in their sovereign ability to “adopt different positions on how to impose punishment and on how much punishment to impose” but limits the states’ ability to overreach their bounds and inappropriately affect behavior in other states (idem). 31. Idem. 32. Idem at 421–22. 33. Idem at 422; BMW, 517 U.S. at 574 n.21. 34. BMW, 517 U.S. at 574. 35. Idem at 575. 36. Idem at 575, 580; State Farm Mut. Auto Ins. Co. v. Campbell, 538 U.S. 408, 419–23 (2003). 37. State Farm, 538 U.S. at 419; see also BMW, 517 U.S. at 576–80. There has been some criticism of the ﬁrst guidepost on the grounds that its application leads to inconsistent results in lower courts’ decisions. See Steven L. Chanenson & John Y. Gotanda, The Foggy Road for Evaluating Punitive Damages: Lifting the Haze from the BMW/State Farm Guideposts, 37 U. Mich. J.L. Reform 441 (2004) (cataloguing lower court cases with inconsistent results). 38. State Farm, 538 U.S. at 419. 39. Idem at 422–23.

Notes to Pages 71–72

213

40. Idem at 422. 41. Idem at 423. To support this proposition, the Court quotes from Justice Breyer’s concurrence in BMW: “Larger damages might also ‘double count’ by including in the punitive damages award some of the compensatory, or punitive, damages that subsequent plaintiffs would also recover” (idem; quoting BMW, 517 U.S. at 593 (Breyer, J., concurring)). 42. Idem. 43. Idem. 44. See idem at 423–24. 45. See idem. 46. For substantive criticism of the “total harm” system of punitive damages, see Colby, supra note 4. 47. Catherine M. Sharkey, Punitive Damages as Societal Damages, 113 Yale L.J. 347 (2003). 48. Idem at 402–14. 49. See In re Simon II Litigation, 211 F.R.D. 86, 185–86 (E.D.N.Y. 2002), for a brief discussion of the problem of uncorrelatability of a portion of punitive damages to a class of plaintiffs. The court in that case observed that the punitive function of punitive damages for nonmembers of the class could be utilized through research and treatment grants (idem at 186). 50. Sharkey, supra note 47, at 393–99. 51. Idem at 400–402; see also TVT Records v. Island Def Jam Music Group, 279 F. Supp. 2d 413, 419–20 & n.11 (S.D.N.Y. 2003), in which the court discussed the nature of punitive damages based on the disproportionalities created by the defendant in society; there are certain societal harms caused by the defendant, but the particularized victims are not always readily identiﬁable. 52. See, e.g., State Rubbish Collectors Ass’n v. Siliznoff, 240 P. 2d 282 (Cal. 1952). 53. See Note, An Economic Analysis of the Plaintiff ’s Windfall from Punitive Damages Litigation, 105 Harv. L. Rev. 1900 (1992), for a good analysis of plaintiff windfall and associated problems. 54. To successfully perform this function without undermining punitive damages’ goals of deterrence and retribution, a split-recovery statute must arguably meet the following requirements: (1) There is a cap on the maximum amount that may be allocated to the state; (2) a judge has discretion to determine the actual size of the state’s share within the limits of a statutory cap; (3) the plaintiff ’s attorney’s fees must be determined based on the entire punitive damages award and paid by the state and the plaintiff proportionally to the actual shares of punitive damages received; and (4) the state’s share of a punitive damages award must be directed by the judge to a special fund whose activity is speciﬁcally tailored to mitigate the negative effects of the defendant’s wrongful conduct on society. 55. See Victor E. Schwartz et al., I’ll Take That: Legal and Public Policy Problems Raised by Statutes That Require Punitive Damages Awards to Be Shared with the State, 68 Mo. L. Rev. 25 (2003), for criticism of split-recovery statutes.

214

Notes to Pages 72–73

56. State Farm, 538 U.S. at 424–28; BMW, 517 U.S. at 580. In BMW, in order to show the long history supporting the principle that punitive damages should bear a reasonable relation to compensatory damages, the Court catalogued cases advancing that principle, including Saunders v. Mullen, 24 N.W. 529 (1885) (“When the actual damages are so small, the amount allowed as exemplary damages should not be so large.”); and Grant v. McDonogh, 7 La. Ann. 447, 448 (1852) (“[E]xemplary damages allowed should bear some proportion to the real damage sustained . . .”). 57. State Farm, 538 U.S. 424–25 (citing language from TXO Production Corp. v. Alliance Resources Corp., 509 U.S. 443 (1993), about the possible use of potential harm for determining the ratio of punitive damages to the plaintiff ’s harm); BMW, 517 U.S. at 581. 58. TXO, 509 U.S. at 460–62. Accord Asa-Brandt, Inc. v. ADM Investor Servs., Inc., 344 F. 3d 738, 747 (8th Cir. 2003) (“The jury was presented with evidence that, if Wesley’s scheme had worked, the Farmers would have been required to pay Wesley sums totaling more than $3.9 million. The record supports the view, therefore, that a punitive damage award of nearly $1.25 million is a fraction of the harm likely to result from Wesley’s conduct.”) (citation and internal quotation marks omitted). 59. TXO, 509 U.S. at 461–62. 60. State Farm, 538 U.S. at 414; BMW, 517 U.S. at 582. 61. State Farm, 538 U.S. at 425; BMW, 517 U.S. at 582; Pac. Mut. Life Ins. Co. v. Haslip, 499 U.S. 1, 18 (1991) (“We need not, and indeed we cannot, draw a mathematical bright line between the constitutionally acceptable and the constitutionally unacceptable [punitive damages] that would ﬁt every case.”). 62. State Farm, 538 U.S. at 425. The Court held that the punitive award in BMW, 517 U.S. at 582–83, a ratio of 500:1, and the punitive award in State Farm, 538 U.S. at 427–29, a ratio of 145:1, were excessive particularly based on this guidepost of reasonableness. 63. See, e.g., State Farm, 538 U.S. at 425. 64. Idem at 425; see also BMW, 517 U.S. at 582. The Fifth Circuit applied this reasoning in Lincoln v. Case, 340 F. 3d 283 (5th Cir. 2003), holding, after remitting the award of punitive damages to the amount of the maximum civil penalty allowed under the Fair Housing Act for a ﬁrst-time offender, that a higher ratio was appropriate in an action for discrimination under the Fair Housing Act where particularly egregious conduct resulted in a small compensatory damages award. 65. State Farm, 538 U.S. at 427 (“Here the argument that State Farm will be punished in only the rare case, coupled with references to its assets . . . had little to do with the actual harm sustained by the Campbells.”). The earlier BMW decision appeared to be of the opposite opinion, stating that higher ratios could be reasonable to punish wrongful conduct that causes harm that is difﬁcult to assess. BMW, 517 U.S. at 582. To compute the amount of a punitive damages award required for effective deterrence, a multiplier formula multiplies the amount of actual harm by the factor of probability that the defendant’s conduct will go undetected. See

Notes to Page 73

215

A. Mitchell Polinsky & Steven Shavell, Punitive Damages: An Economic Analysis, 111 Harv. L. Rev. 869, 887–96 (1998). 66. State Farm, 538 U.S. at 427–28. The Court relied on Justice Breyer’s language in BMW, 517 U.S. at 591 (Breyer, J., concurring): “[Wealth] provides an open-ended basis for inﬂating awards when the defendant is wealthy. . . . That does not make its use unlawful or inappropriate; it simply means that this factor cannot make up for the failure of other factors, such as ‘reprehensibility,’ to constrain signiﬁcantly an award that purports to punish a defendant’s conduct.” 67. Idem at 426. On remand, the Supreme Court of Utah disagreed, holding that the record supporting compensatory damages was sufﬁciently thorough to exclude punitive elements. Campbell v. State Farm Mut. Auto. Ins. Co., 98 P. 3d 409, 417–18 (Utah 2004). 68. BMW, 517 U.S. at 583. Scholars argue that, instead of the reprehensibility of the defendant’s conduct, courts should rely on sanctions for comparable misconduct as a benchmark for determining the constitutional validity of punitive damages. See Chanenson & Gotanda, supra note 37. According to the authors, reliance on the judicially determined degree of reprehensibility transforms what should be an objective test of the constitutionality of punitive damages into a predominantly subjective type of analysis (idem at 443). They further argue that greater weight in the constitutional review of punitive damages must be given to the third guidepost, which is an objective measure of the social disutility of the defendant’s conduct (idem at 444). The authors propose a presumptive test based on the third BMW guidepost (idem). According to this test, failure to clear an award under the third guidepost (i.e., when a punitive damages award exceeds the highest comparable authorized monetary statutory penalty) will be a strong indication of unconstitutionality (idem). Failing the second and third guideposts would render a punitive damages award unconstitutional (idem). Failing the third guidepost but satisfying the second would require an analysis of reprehensibility (idem). The authors note that only a ﬁnding of particularly egregious conduct will save a punitive damages award that exceeds the highest comparable monetary penalty (idem). Passing the third guidepost will still require that a punitive damages award be cleared under the ﬁrst two guideposts (idem). 69. BMW, 517 U.S. at 583–85; see also State Farm, 538 U.S. at 428. 70. BMW, 517 U.S. at 584. 71. Idem at 584–85. See generally Zhang v. American Gem Seafoods, Inc., 339 F. 3d 1020 (9th Cir. 2003). The First Circuit rejected the defendants’ suggestion in Zimmerman v. Direct Federal Credit Union, 262 F. 3d 70, 83 (1st Cir. 2001), to compare the punitive damages award with punitive damages awards in similar cases, noting that reliance on statutory penalties was more appropriate because, according to BMW, the emphasis in comparing punitive damages with other civil or criminal penalties was on the legislature’s assessment of reprehensibility. On remand from State Farm, the Supreme Court of Utah criticized the vagueness of the U.S. Supreme

216

Notes to Pages 73–74

Court’s comparability assessment and argued that since the U.S. Supreme Court was ready to accept an award of punitive damages in the amount of $1 million, which was one hundred times more than the highest civil penalty of $10,000, $9 million in punitive damages in this case would be similarly acceptable. State Farm, 98 P. 3d 409, 418–19. The Supreme Court of Utah obviously confused the different goals of compensatory and punitive damages. Compensatory damages reﬂect the amount of actual harm suffered by the plaintiff and are not subject to the same dangers of arbitrariness as punitive damages. 72. State Farm, 538 U.S. at 428. 73. Idem. 74. Idem. Cf. BMW, 517 U.S. at 583. 75. State Farm, 538 U.S. at 428 (emphasis added). 76. Nonnormative, or ad hoc, government interference with individual property rights by way of jury awards of punitive damages has already caused the Court to employ the requirement of proportionality to ensure constitutional validity of punitive damages. See BMW v. Gore, 517 U.S. 559 (1996). The Court appears to view as particularly troubling the proneness to arbitrary encroachment on individual autonomy of ad hoc government decisions, like punitive damages awards or land-use permit conditions. See State Farm Mut. Auto. Ins. Co. v. Campbell, 538 U.S. 408, 417–18 (2003); Dolan v. City of Tigard, 512 U.S. 374, 385 (1994). Clearly visible is the divide in the Court’s constitutional treatment between legislatively imposed imprisonment, ﬁnes, or land-use conditions and ad hoc punitive damages awards, forfeitures (the size of forfeitures ordinarily depends on the circumstances of each case), and individual land-use permit conditions. For example, BMW and State Farm apply the doctrine of proportionality exclusively to discretionary punitive damages awards. See State Farm, 538 U.S. 408; BMW, 517 U.S. 559. In contrast, the Dolan Court adopted a more rigorous standard of review for individualized one-time land-use permit conditions but spared legislatively imposed zoning requirements from this heightened scrutiny. 511 U.S. at 385 (distinguishing the conditions imposed on the owner of the property to receive a land development permit from the “legislative determinations classifying entire areas of the city,” which were approved in Agins v. City of Tiburon, 447 U.S. 255 (1980) ). 77. 512 U.S. 374 (1994). 78. 483 U.S. 825 (1987). See also Daniel R. Mandelker, Jules B. Gerard & E. Thomas Sullivan, Federal Land Use Law § 2.04(3) (16th ed. 2002). 79. Dolan, 512 U.S. at 386. 80. Nicholas Emiliou, The Principle of Proportionality in European Law: A Comparative Study 65 (Kluwer Law Int’l 1996). 81. Possessory exactions are “dedications to public use as a condition of approval” of a land-use permit. John J. Delaney, Applicability of Nollan-Dolan Rough Proportionality Requirements to Non-possessory Exactions and Exactions Imposed by Legislative Enactment, SF08 ALI-ABA 639, 643 (2000). 82. Idem at 648–49.

Notes to Pages 74–76

217

83. Lingle v. Chevron U.S.A., Inc., 544 U.S. 528 (2005) (holding that an inquiry into the nature of due process examining the ﬁt between the public purpose and the exaction on the property of a person was not applicable to takings). 84. City of Monterey v. Del Monte Dunes at Monterey, Ltd., 526 U.S. 687, 702–703 (1999). 85. Nollan v. Cal. Coastal Comm’n, 483 U.S. 825 (1987). 86. Idem at 828. 87. Idem at 828–29 (alteration in original). 88. Idem at 829. 89. Idem at 836. 90. Idem. 91. Idem. 92. Idem. 93. Idem at 836–37. 94. Idem at 837. 95. Idem at 838–41. 96. 512 U.S. 374 (1994). 97. Idem at 380. 98. Idem at 387. 99. 447 U.S. 255, 260 (1980). 100. Dolan, 512 U.S. at 385 (2d and 3d alterations in original). 101. In Agins, the plaintiffs challenged as facially unconstitutional the zoning restrictions placed on their ﬁve-acre parcel of land as part of the city’s general land-use and open-space development plan (447 U.S. at 257). 102. Dolan, 512 U.S. at 385. This important distinction indicates the Court’s concern over discretionary adjudicative municipal decisions that condition land-use permits on dedication of land. The Court believes that without some limitation on the discretion of local authorities, land-use permit conditions may be utilized to disguise takings of property without the constitutionally mandated compensation (Nollan v. Cal. Coastal Comm’n, 483 U.S. 825, 837 (1987) ). The Court appears to be less concerned with legislatively imposed zoning requirements (see Dolan, 512 U.S. at 385) most likely because the political process involved in legislative formulation of zoning requirements provides a sufﬁcient check on local authorities. 103. Dolan, 512 U.S. at 385. 104. Idem. 105. Idem at 387. 106. Idem at 387–88. 107. Idem at 388. Justice Stevens severely criticized the majority’s decision to impose the burden of establishing rough proportionality on the city, claiming that the essential nexus test is sufﬁcient to satisfy the requirements of the takings clause (idem at 403; Stevens, J., dissenting). He said that the inquiry must venture beyond the issue of essential nexus only “if the developer establishes that a concededly

218

Notes to Page 76

108.

109.

110. 111.

germane condition is so grossly disproportionate to the proposed development’s adverse effects that it manifests motives other than land use regulation on the part of the city” (idem). Thus, Justice Stevens proposed to signiﬁcantly limit the application of the doctrine of proportionality in the constitutional evaluation of permit conditions to cases of gross disproportionality. He argued that the Court’s analysis resurrected “a species of substantive due process analysis that it ﬁrmly rejected decades ago [implying Lochner]” (idem at 405). This view fails to realize that the majority speciﬁcally adapted the rough proportionality inquiry to the type of transactions at issue here by adopting a sufﬁciently relaxed intermediate level of proportionality analysis tailored to allow effective local land-use regulation. In particular, the majority rejected the test of strict proportionality, recognizing that the interest involved did not require this level of scrutiny (idem at 390; majority opinion). It implicitly argued, however, that the proneness of land-use permit conditions to undermine individual property rights under the guise of land-use regulation elevates the competing individual property rights to a level of importance that requires substitution of meaningful constitutional balancing for the traditional deference to the government (idem at 385, 391–96). Justice Souter dissented, arguing that if there is a lack of reasonable relationship between the government exaction and the projected impact of the proposed development, it is not because the exaction is disproportional but because there exists no essential nexus between the imposed condition and the proposed development (idem at 412; Souter, J., dissenting). He claimed that the requirement of rough proportionality is not needed because what the Court engaged in here was merely Nollan’s essential nexus analysis, which was sufﬁcient for these purposes (idem). Justice Souter disagreed with the majority on its application of Nollan in this case, especially because it placed the burden of producing the evidence of reasonable relationship on the city (idem at 413). Idem at 389–91 (majority opinion). Justice Stevens argued that none of the cases surveyed by the majority established a requirement similar to the “rough proportionality” requirement the majority instituted in this case (idem at 398; Stevens, J., dissenting). More important, said Justice Stevens, none of the statutes imposed a burden on the city to make an individualized showing that the proposed conditions satisﬁed the requirement of proportionality (idem). He argued that what most of the states incorporated in their takings statutes was merely the requirement of essential nexus developed by the Court in Nollan (idem). Justice Stevens also criticized the fact that the majority’s analysis failed to take into account any beneﬁts that might arise for the owner in this case in connection with the imposed conditions and the city’s subsequent improvement of the drainage system (idem at 399–400). Idem at 389 (majority opinion) (rejecting the rational basis standard because it is “too lax to adequately protect petitioner’s right to just compensation if her property is taken for a public purpose”). Idem at 389–90. Idem at 391.

Notes to Pages 76–79

112. 113. 114. 115.

116.

117. 118.

119. 120.

121. 122. 123. 124. 125. 126. 127. 128. 129. 130. 131. 132.

219

Idem. Idem at 393. Idem. The Court noted, in particular, that “ [i]f petitioner’s proposed development had somehow encroached on existing greenway space in the city, it would have been reasonable to require petitioner to provide some alternative greenway space for the public either on her property or elsewhere” (idem at 394). Idem at 395. In his dissent, Justice Stevens argued that the majority went against the well-established eminent domain principle that the impact on the owner’s property rights must be measured in relation to the entire parcel, not just the destruction of one strand in the bundle of rights (idem at 400–401; Stevens, J., dissenting) (citing Penn Central Transp. Co. v. New York City, 438 U.S. 104 (1978) ). The majority responded that the exaction contemplated here was sufﬁciently important to constitute a taking because the permit conditions at issue in this case would “eviscerate” one of the most important sticks in Mrs. Dolan’s bundle of rights—her right to exclude others from her property (idem at 393–94; majority opinion). Idem at 395–96. See also Mandelker, Gerard & E.T. Sullivan, supra note 78, for an overview of related federal land-use law. See Emiliou, supra note 80, at 192–93 (explaining that the level of proportionality required by the European Court of Justice vis-à-vis the exercise of discretionary regulatory powers depends on the position of the violated interest in the established legal order and speciﬁcally pointing out the Court’s deference to the exercise of discretionary regulatory powers in the ﬁeld of economic policy). See supra note 110 and accompanying text. This realization is implicit in the Court’s attempt to stress the severity of land-use permit conditions, which frequently require that the owner “deed portions of the property to the city” (Dolan, 512 U.S. at 385). Nollan v. Cal. Coastal Comm’n, 483 U.S. 825, 836 (1987). Idem at 835–37. See supra notes 109–12 and accompanying text. Nollan, 483 U.S. at 837. Idem. Dolan, 512 U.S. at 393–96. Idem at 393–95. Idem. Idem at 393. Idem at 395–96. See idem at 412 (Souter, J., dissenting). There is limited suggestion in the opinion that the Court intended to institute the requirement of rough proportionality exclusively for individualized discretionary permit conditions when it distinguished them from legislative zoning (Dolan, 512 U.S. at 385).

220

Notes to Pages 79–80

133. The Court’s analysis focused predominantly on the dangers of possessory exactions to the exercise of individual private property rights (idem at 388–89); see also Nollan v. Cal. Coastal Comm’n, 483 U.S. 825, 837 (1987). 134. 526 U.S. 687 (1999). 135. Idem at 702. 136. Idem (citing Armstrong v. United States, 364 U.S. 40, 49 (1960) ). 137. Idem. 138. Idem at 703. 139. Idem at 702. 140. See idem (holding that the rough proportionality test does not extend beyond the “land-use decisions conditioning approval of development on the dedication of property to public use”) (emphasis added). 141. Ehrlich v. City of Culver City, 512 U.S. 1231 (1994). 142. Ehrlich v. City of Culver City, 911 P. 2d 429, 438–39 (Cal. 1996). The court very aptly explained the rationale for heightened scrutiny in exactions cases, maintaining that the concern of the U.S. Supreme Court was over the discretionary context in which local authorities could circumvent the requirement of due compensation for a taking by utilizing possessory or nonpossessory exactions as conditions on the issuance of development permits (idem at 439). Justice Arabian provided the following helpful explanation of the rationale behind the heightened scrutiny applied in the Nollan-Dolan test: “As Justice Scalia’s opinion in Nollan makes clear, such a discretionary context presents an inherent and heightened risk that local government will manipulate the police power to impose conditions unrelated to legitimate land use regulatory ends, thereby avoiding what would otherwise be an obligation to pay just compensation. In such a context, the heightened NollanDolan standard of scrutiny works to dispel such concerns by assuring a constitutionally sufﬁcient link between ends and means.” (idem; citation omitted). 143. Ehrlich v. City of Culver City, 519 U.S. 929 (1996) (denying petition for writ of certiorari). 144. 544 U.S. 528 (2005). 145. 447 U.S. 255, 260 (1980). 146. Chevron, 544 U.S. at 532. 147. Idem at 536 (quoting First English Evangelical Lutheran Church of Glendale v. County of Los Angeles, 482 U.S. 304, 314 (1987) ). 148. Idem at 542–44. 149. Idem at 543. 150. Idem at 547–48. The rights of private property owners were further curtailed by the recent Supreme Court decision in Kelo v. City of New London, 125 S. Ct. 2655 (2005). The Court held that the “public use” requirement for takings contained in the Fifth Amendment has transformed its meaning to “public purpose” (idem at 2662). Absent any indication of an illegitimate purpose for taking property from one individual to beneﬁt another, a taking of private property made in accordance with a carefully devised development plan

Notes to Pages 80–81

151. 152. 153. 154.

155.

221

to upgrade property would qualify as a taking for public purpose, in compliance with the Fifth Amendment’s “public use” requirement (idem at 2664–65). The Court distinguished a taking of property from one private party and a grant of that property to another performed outside of an integrated local development plan from the taking under consideration, which was carried out in accordance with a comprehensive integrated development plan of the city (idem at 2666–67). The Court’s decision left private property owners with the unenviable protection of the general requirement of rationality with its broad deference to the government precluding any meaningful judicial review. But see idem at 2669 (Kennedy, J., concurring) (stating that courts should use a rational basis standard of review in determining whether a taking was for public use and ensuring—based on the Court’s decisions in Cleburne v. Cleburne Living Center, Inc., 473 U.S. 432, 446–47, 450 (1985), and Department of Agriculture v. Moreno, 413 U.S. 528, 533–36 (1973), in which the Court used rational basis review to establish that the government classiﬁcations under consideration intended to injure a speciﬁc class of people—that the rational basis standard is capable of detecting particular instances in which a taking has been effected for private purpose). Chevron, 544 U.S. at 543. Idem. Idem at 545. See Parking Ass’n of Ga., Inc. v. City of Atlanta, 515 U.S. 1116 (1995) (Thomas, J., dissenting). Notwithstanding his position in Parking Association of Georgia, Justice Thomas joined the majority opinion in Chevron. 544 U.S. 528. (b) Attorney’s fees In any action or proceeding to enforce a provision of [various civil rights statutes], the court, in its discretion, may allow the prevailing party, other than the United States, a reasonable attorney’s fee as part of the costs, except that in any action brought against a judicial ofﬁcer for an act or omission taken in such ofﬁcer’s judicial capacity such ofﬁcer shall not be held liable for any costs, including attorney’s fees, unless such action was clearly in excess of such ofﬁcer’s jurisdiction.

42 U.S.C. § 1988 (2000). 156. Like punitive damages, which are awarded to serve the goal of deterring intentional tortious conduct (State Farm Mut. Auto. Ins. Co. v. Campbell, 538 U.S. 408, 416 (2003) ), attorney’s fees are awarded to successful plaintiffs to promote the role of a plaintiff as a private prosecutor in § 1988 cases. See City of Riverside v. Rivera, 477 U.S. 561 (1986). 157. BMW of N. Am., Inc. v. Gore, 517 U.S. 559, 568 (1996). See supra part A. 158. Rivera, 477 U.S. at 573–74. 159. Farrar v. Hobby, 506 U.S. 103, 114–16 (1992). 160. 461 U.S. 424, 440 (1983).

222

Notes to Pages 81–82

161. The level of the plaintiffs’ success will determine the billable hours that will be included in the calculation of attorney’s fees, Rivera, 477 U.S. at 584 (Powell, J., concurring). Other factors may also be considered. See infra note 165. 162. Hensley, 461 U.S. at 434 (“Hours that are not properly billed to one’s client also are not properly billed to one’s adversary pursuant to this statutory authority.”) (citation omitted). 163. Idem at 434–35. 164. Idem at 440. 165. Idem. The Court referenced a twelve-factor test as the relevant measure for determining the reasonableness of attorney’s fees. The factors to be considered for this purpose are as follows: (1) the time and labor required; (2) the novelty and difﬁculty of the questions; (3) the skill requisite to perform the legal service properly; (4) the preclusion of employment by the attorney due to acceptance of the case; (5) the customary fee; (6) whether the fee is ﬁxed or contingent; (7) time limitations imposed by the client or the circumstances; (8) the amount involved and the results obtained; (9) the experience, reputation, and ability of the attorneys; (10) the “undesirability” of the case; (11) the nature and length of the professional relationship with the client; and (12) awards in similar cases.

166.

167. 168. 169. 170. 171. 172. 173. 174. 175.

Idem at 430 (quoting Johnson v. Ga. Highway Express, Inc., 488 F. 2d 714, 717–19 (5th Cir. 1974) ) (emphasis added). Factors 8 and 10 contain an element of balancing, typical to most proportionality inquiries, of the desirability of the action (i.e., the deterrence value of the action) and the degree of success achieved with the amount of an award of attorney’s fees. Idem at 428–29. Respondents focused on determining the reasonable amount of fees based on the plaintiffs’ success on the causes of action the plaintiffs’ attorneys advanced rather than suggesting a proportionality analysis. See supra note 161 and accompanying text. See BMW of N. Am., Inc. v. Gore, 517 U.S. 559, 580 (1996). 477 U.S. 561, 574 (1986) (plurality opinion). The Court here is referring to the Hensley factors, supra note 165. Rivera, 477 U.S. at 574 (plurality opinion). Idem. Idem. Idem at 575. Idem at 574. The plurality said that “Congress did not intend for fees in civil rights cases, unlike most private law cases, to depend on obtaining substantial monetary relief ” (idem at 575; emphasis added). State and federal courts have indeed applied the principle of proportionality of attorney’s fee awards in private cases. For example, in Marassi v. Lau, 859 P. 2d 605, 608 (Wash. Ct. App. 1993), the court explained that where there are multiple claims on a contract that provides for the

Notes to Page 82

176.

177. 178. 179.

180. 181.

223

payment of attorney’s fees and each party prevails on some claims, the described proportionality approach is preferable because in such cases the inquiry into who may be viewed as a prevailing party becomes excessively subjective (idem). In civil class actions, courts have viewed the proportionality of the attorney’s fees to the relief recovered by a class instructive in determining the reasonableness of attorney’s fees. See Int’l Precious Metals Corp. v. Waters, 530 U.S. 1223, 1224–25 (2000) (O’Connor, J., concurring) (stating that approval of attorney’s fees must be accompanied by an inquiry into whether there is “at least . . . some rational connection between the fee award and the amount of the actual distribution to the class” and recognizing the split among circuits relative to whether district courts abuse discretion when basing attorney’s fee awards on actual distribution to the class); In re Activision Sec. Litig., 723 F. Supp. 1373, 1378 (N.D. Cal. 1989) (expressing preference for proportionality in determining attorney’s fees over the lodestar method in common fund cases); Dotson v. Bell Atlantic-Md., Inc., 2003 WL 23508428, *11 (Md. Cir. Ct. 2003) (observing that proportionality of attorney’s fees is not only important in determining the reasonableness of attorney’s fees but also useful for future class plaintiffs in structuring their attorney’s fees mechanisms). See, e.g., Marassi v. Lau, 859 P. 2d 605, 607–608 (Wash. Ct. App. 1993) (holding that, where an agreement provided for recovery of attorney’s fees by a party who substantially prevailed and both the defendant and the plaintiff prevailed on distinct and severable claims advanced in the same proceeding, a proportionality approach should be used to award each party attorney’s fees in proportion to the claims upon which each prevailed). Rivera, 477 U.S. at 585 (Powell, J., concurring). Idem. Justice Powell was of the opinion that there are objective indicators, like requesting an injunction, to distinguish between the primary purpose being recovery of private damages or advancement of a public interest. See idem at 583–86. Idem at 585. Idem at 585–86. Justice Powell said, in particular, that “[a]lthough the ﬁnding of a Fourth Amendment violation hardly can be considered a new constitutional ruling,” the violations at issue in this case were particularly troubling because the police expressed “general hostility to the Chicano community in the area” (idem at 586) (citation omitted). Justice Rehnquist, on the other hand, disagreed with the plurality on a narrow deﬁnition of proportionality. He proposed to focus on the expectation of recovery as a measure of reasonable attorney’s fees. In other words, the time spent litigating a case, based on which the attorney’s fees are computed, must be related to what is reasonably expected to be recovered if the court ﬁnds for the plaintiff (idem at 592–93; Rehnquist, J., dissenting). Consequently, to the extent that rejecting the requirement of proportionality to recovered damages in this case may be interpreted to diminish the weight of such “billing judgment,” Justice Rehnquist disagreed with the plurality’s holding (idem at 595). He concluded that the facts in

224

Notes to Pages 82–83

182. 183. 184. 185. 186. 187.

188. 189. 190. 191. 192.

this case supported the view that the “billing judgment” was not exercised properly, given the attorney’s knowledge of the history of low compensatory awards in this ﬁeld of civil rights litigation (idem). 506 U.S. 103, 114–16 (1992). Idem at 115. Idem. Idem. Idem. See Cole v. Wodziak, 169 F. 3d 486, 487–88 (7th Cir. 1999) (casting doubt on Rivera because it was a plurality decision and holding that, according to Farrar, “[w]hen recovery is low enough in relation to the demand, however, the judge may jettison the lodestar apparatus and choose an appropriate fee using other means”); Migis v. Pearle Vision, Inc., 135 F. 3d 1041, 1048 (5th Cir. 1998) (holding that an attorney’s fee award of six and a half times the amount of damages was excessive, given that the amount of damages recovered was twenty-six times less than what the plaintiff requested and that the district court abused its discretion when it did not take into account the difference between the requested amount of damages and the amount actually recovered, as well as the relation of the amount recovered to the attorney’s fee award); Gudenkauf v. Stauffer Commc’ns, Inc., 158 F. 3d 1074, 1084–85 (10th Cir. 1998) (holding that in mixedmotive employment discrimination cases where damages are not awarded, the inquiry into the proportionality of attorney’s fees must focus primarily on the plaintiff ’s success in proving that “an employer’s discrimination, and not the employee’s own misconduct, drove the employment decision”) (citation omitted); Sheppard v. Riverview Nursing Ctr., Inc., 88 F. 3d 1332 (4th Cir. 1996) (stating that “[f]actoring proportionality concerns into the analysis helps guard against [excessive awards of attorney’s fees not reasonably related to the beneﬁt to the plaintiff or society]” and that “[i]n appropriate cases . . . courts should consider the reasons why injunctive relief was or was not granted, or the extent and nature of any declaratory relief ” and arguing that Farrar adopted a more general notion of proportionality by inquiring whether “the public purposes served by resolving the dispute justiﬁes [sic] the recovery of fees” (citing Farrar, 506 U.S. at 121–22 (O’Connor, J., concurring)). See supra ch. 3(B) (discussing the dormant commerce clause in the context of intermediate scrutiny). “The Congress shall have power to enforce, by appropriate legislation, the provisions [of the Fourteenth Amendment].” U.S. Const. amend. XIV, § 5. See, e.g., City of Boerne v. Flores, 521 U.S. 507 (1997). 521 U.S. 507 (1997). “The judicial power of the United States shall not be construed to extend to any suit in law or equity, commenced or prosecuted against one of the United States by Citizens of another State, or by Citizens or Subjects of any Foreign State.” U.S. Const. amend. XI.

Notes to Pages 83–84

225

193. City of Boerne, 521 U.S. 507. 194. Idem at 509. 195. See Kimberly E. Dean, Note, In Light of the Evil Presented, 43 B.C. L. Rev. 697, 701 (2002). 196. Seminole Tribe of Fla. v. Florida, 517 U.S. 44 (1996). Congress is not permitted to use its enforcement power to expand the substantive rights recognized by the judiciary in its Fourteenth Amendment jurisprudence. City of Boerne, 521 U.S. at 508. 197. Vicki Jackson has argued that this deferential review of congressional action is appropriate given the status of state “rights” in U.S. constitutional law. “In order to avoid a quagmire of constitutional uncertainty in the U.S. constitutional setting, given both the lack of discrete areas reserved to the states as matters of regulatory jurisdiction and the constitutionally protected participation of states in constituting the federal government, a judicial policy of highly deferential review of exercises of federal power (not claimed to violate individual rights) makes sense.” Vicki C. Jackson, Ambivalent and Comparative Constitutionalism: Opening Up the Conversation on “Proportionality,” Rights and Federalism, 1 U. Pa. J. Const. L. 583, 631–32 (1999) (footnote omitted). Jackson indicated that a more rigorous level of judicial review of federalism-based challenges to congressional actions would be appropriate if a well-deﬁned “baseline measure of a ‘right’ to regulate [by the states], or a rule constraining the level of detail of federal enactments” were present in the U.S. constitutional system (idem at 627). Absent such a baseline measure, however, a deferential standard is needed “in order to minimize risks of judicial invalidation based on disagreement over ‘policy’ issues concerning the scope of federal regulation” (idem at 627–28). 198. See Tennessee v. Lane, 541 U.S. 509, 529 (2004); Nev. Dep’t of Human Res. v. Hibbs, 538 U.S. 721, 728–40 (2003); Bd. of Trustees of Univ. of Ala. v. Garrett, 531 U.S. 356, 367–68 (2001); Kimel v. Fla. Bd. of Regents, 528 U.S. 62 (2000). A good illustration of these tendencies appears in circuit court opinions that review the validity of the Equal Pay Act (EPA), 29 U.S.C. § 206(d) (2000), and the Americans with Disabilities Act (ADA), 42 U.S.C. § 12101, et seq. (2000). The Sixth and the Seventh circuits upheld the validity of the EPA under Section 5 of the Fourteenth Amendment in Kovacevich v. Kent State University, 224 F. 3d 806 (6th Cir. 2000), and Varner v. Illinois State University, 226 F. 3d 927 (7th Cir. 2000), respectively, because the act sought to remove wage discrimination due to gender, to which the Supreme Court jurisprudence afforded a heightened degree of protection. The Sixth Circuit held that the EPA was congruent and proportional to those violations Congress sought to remedy, given the fact that the standard for liability under the EPA approximated the constitutional equal protection analysis of gender discrimination and provided defenses for “other-than-sex” explanations (Kovacevich, 224 F. 3d at 819–20). The Seventh Circuit noted that, despite the fact that the EPA prohibited some constitutional conduct, the act contained exemptions for neutral explanations of wage disparity, which rendered it congruent and proportional to the

226

Notes to Pages 84–85

constitutional violation of gender discrimination that Congress was seeking to remedy (Varner, 226 F. 3d at 932–36). By contrast, circuit courts proved less deferential to Congress’s effort to prohibit state discrimination based on disabilities because the Supreme Court had already determined that disability discrimination was subject to rational basis review. See City of Cleburne v. Cleburne Living Ctr., Inc., 473 U.S. 432 (1985). The Third and Seventh circuits held as an unconstitutional abrogation of state sovereign immunity Title I of the ADA (prohibiting employment discrimination against people with disabilities) (Lavia v. Pa. Dep’t of Corr., 224 F. 3d 190 (3d Cir. 2000); Erickson v. Bd. of Governors, 207 F. 3d 945 (7th Cir. 2000) ). The Sixth Circuit likewise found that Title II of the ADA (prohibiting discrimination against people with disabilities in services, programs, or activities of a public entity) impermissibly abrogated state immunity (Popovich v. Cuyahoga County Ct. of Common Pleas, 227 F. 3d 627 (6th Cir. 2000) ). All of these decisions relied heavily on the absence of legislative ﬁndings that states had a history of discrimination against persons with disabilities to justify the prophylactic measure that abrogated state immunity. See, e.g., Lavia, 224 F. 3d at 205; Popovich, 227 F. 3d at 640. Congress is bound to this judicial standard because any attempt to alter the Court’s determination of the standard of review will be considered an invalid substantive change, as opposed to a remedial action. See supra note 196. 199. See, e.g., Nev. Dep’t of Human Res. v. Hibbs, 538 U.S. 721, 735 (2003) (“[T]he States’ record of unconstitutional participation in, and fostering of, gender-based discrimination in the administration of leave beneﬁts is weighty enough to justify the enactment of prophylactic § 5 legislation.”). 200. See idem at 737–40. Noting the narrowness of Congress’s goal—to eliminate “the fault line between work and family” (idem at 738)—and the limitations placed on the scope of the act, the Court determined that the Family and Medical Leave Act (FMLA) “is congruent and proportional to its remedial object, and can be understood as responsive to, or designed to prevent, unconstitutional behavior” (idem at 740) (internal quotation marks omitted). Moreover, the Court recognized that past attempts to remedy the violations had failed, a fact that justiﬁed additional prophylactic measures (idem at 737). See also E. Thomas Sullivan, Judicial Sovereignty: The Legacy of the Rehnquist Court, 20 Const. Comment. 171 (2003). 201. See E. Thomas Sullivan, Judicial Sovereignty: The Legacy of the Rehnquist Court, 20 Const. Comment. 171, 178–84 (2003) (discussing the Court’s “congruence and proportionality” test and noting that the legislation must be proportional to the means employed). 202. 527 U.S. 627, 630 (1999). 203. 528 U.S. 62, 81 (2000). 204. Idem at 88. 205. 529 U.S. 598, 626 (2000). 206. 531 U.S. 356, 372–74 (2001).

Notes to Pages 85–87

227

207. Idem at 369 (“[T]he Eleventh Amendment does not extend its immunity to units of local government…. It would make no sense to consider constitutional violations on their part, as well as by the States themselves, when only the States are the beneﬁciaries of the Eleventh Amendment.”) (citation omitted). The Fifth Circuit considered the Kimel/Garrett approach as “a more vigorous application of the congruence and proportionality test” (Reickenbacker v. Foster, 274 F. 3d 974, 982 (5th Cir. 2001)). 208. See supra notes 262–67 of chapter 1 and accompanying text (discussing the notion of subsidiarity in European Community law). 209. 391 U.S. 430 (1968). 210. 349 U.S. 294, 301 (1955). 211. Green, 391 U.S. at 435 (quoting Brown II, 349 U.S. at 301). 212. Idem at 438 (quoting Grifﬁn v. County Sch. Bd. of Prince Edward County, 377 U.S. 218 (1964)). 213. Idem at 439. 214. Idem. 215. See Freeman v. Pitts, 503 U.S. 467 (1992). Other categories such as resource allocation, quality of education, transportation, physical facilities, and extracurricular activities were also mentioned as relevant to the school districts’ compliance with the constitutional equal protection principles (idem). 216. See, e.g., Green, 391 U.S. at 441–42 (rejecting as inadequate the district’s freedomof-choice plan because it failed to create school demographics that more closely approximated the racial makeup of the district’s general population, despite an overall increase in the number of African American students attending formerly all-white schools). 217. 402 U.S. 1, 23–25 (1971). Other tools recommended by the Court to achieve integration and remedy previous segregation were mandatory busing and pairing and grouping of noncontiguous school zones (idem at 27–31). 218. Idem at 24. 219. Idem at 25. 220. Idem at 24. 221. See infra notes 228–32 and accompanying text. Institutions do have the discretion, however, to choose to consider race as one factor among others in assessing an individual’s qualiﬁcation for admittance (Gratz v. Bollinger, 539 U.S. 244 (2003); Grutter v. Bollinger, 539 U.S. 306 (2003)). 222. Swann, 402 U.S. at 26. 223. Idem. 224. Freeman v. Pitts, 503 U.S. 467, 494 (1992). Similar considerations of proportionality advanced the Court’s position that a school district’s unitary status is not achieved with respect to quality of education if “teachers in schools with disproportionately higher percentages of white students tended to be better educated and have more experience than their counterparts in schools with disproportionately high percentages of black students . . .” (idem at 483).

228

Notes to Page 87

225. See idem at 496, 503–56 (Scalia, J., concurring). 226. 427 U.S. 424 (1976) (ruling that federal courts exceed their authority when they try to remedy changes in racial makeup caused by demographic changes). Justices Souter and Blackmun held an opposing view in their Freeman concurrences. They argued that past segregation can affect the current demographic trends and that ﬁndings need to be made as to whether a causal connection between the past dual system and current trends exists (Freeman, 503 U.S. at 507–508 (Souter, J., concurring), 515 (Blackmun, J., concurring)). 227. Freeman, 503 U.S. at 496–98. 228. United States v. Fordice, 505 U.S. 717 (1992). 229. See idem at 754 (Scalia, J., concurring in part and dissenting in part). 230. Idem at 743. 231. Idem. 232. Idem. Proportionality is also mentioned as a tool in determining compliance of higher educational institutions that receive federal funding with Title IX’s (20 U.S.C. § 1681 (2000)) antidiscrimination provision. The regulation that implements Title IX stipulates: “A recipient which operates or sponsors interscholastic, intercollegiate, club or intramural athletics shall provide equal athletic opportunity for members of both sexes” (34 C.F.R. 106.41(c) (2006)). Key among the ten factors to be considered when “determining whether opportunities are available” is “[w]hether the selection of sports and levels of competition effectively accommodate the interests and abilities of members of both sexes” (idem). See also Roberts v. Colo. State Bd. of Agric., 998 F. 2d 824 (10th Cir. 1993). Empowered to administer Title IX’s antidiscrimination provision, the Ofﬁce of Civil Rights assesses compliance with the accommodation provision in three basic policy areas: the determination of athletic interests and students’ abilities; the selection of sports offered; and the levels of competition available during the opportunity for team competition (44 Fed. Reg. 71,413 at 41,417 (1979)). The third policy area requires that “intercollegiate level participation opportunities for male and female students [be] provided in numbers substantially proportionate to their respective enrollments” (idem at 71,418). The substantial proportionality factor provides a sort of safe harbor for schools under Title IX, allowing schools to meet the antidiscrimination requirements by maintaining student participation in athletic activities in rough proportion to the gender makeup of the student body. There is no speciﬁed ratio to which schools must adhere; the relationship, however, must be fairly close. See Roberts, 998 F. 2d at 830 (holding that 10.5 percent disparity in female athletic participation and enrollment constituted the level of participation not substantially proportionate to enrollment). To achieve substantial proportionality under the accommodation test, a school may downgrade or reduce the opportunities of the overrepresented sex (idem). As mentioned, the substantial proportionality between athletic participation of a speciﬁc gender and its respective enrollment is not an absolute requirement. It merely provides a safe harbor for schools by allowing them to establish a prima

Notes to Pages 88–89

229

facie case of nondiscrimination. A school may rebut a presumption of gender discrimination that becomes operative in the absence of substantial proportionality by showing “that it has expanded and is continuing to expand opportunities for athletic participation by the underrepresented gender, or else [the school must] fully and effectively accommodate the interests and abilities among members of the underrepresented gender” (Roberts, 998 F. 2d at 829); see also Kelley v. Bd. of Trustees, 35 F. 3d 265 (7th Cir. 1994) (providing additional discussion of the substantial proportionality test). 233. Wesberry v. Sanders, 376 U.S. 1, 7–8 (1964). 234. Idem. 235. Reynolds v. Sims, 377 U.S. 533 (1964). 236. Idem at 583–84 (“In substance, we do not regard the Equal Protection Clause as requiring daily, monthly, annual or biennial reapportionment, so long as a State has a reasonably conceived plan for periodic readjustment of legislative representation. While we do not intend to indicate that decennial reapportionment is a constitutional requisite, compliance with such an approach would clearly meet the minimal requirements for maintaining a reasonably current scheme of legislative representation. And we do not mean to intimate that more frequent reapportionment would not be constitutionally permissible or practicably desirable. But if reapportionment were accomplished with less frequency, it would assuredly be constitutionally suspect.”). 237. Lucas v. Forty-fourth General Assembly of State of Colo., 377 U.S. 713, 734 (1964). 238. Karcher v. Daggett, 462 U.S. 725, 740–42 (1983). 239. Idem at 730–31. 240. Idem at 731. 241. Idem. 242. Karcher, 462 U.S. at 740. A looser standard is established for state election districting. See Mahan v. Howell, 410 U.S. 315 (1973) (upholding a 16.4 percent variation in population among districts as nonexcessive and resulting from a rational objective of maintaining political lines). 243. See 42 U.S.C. § 1973 (2000) (“[N]othing in this section establishes a right to have members of a protected class elected in numbers equal to their proportion in the population.”). 244. 478 U.S. 30 (1986). 245. 42 U.S.C. § 1973. 246. Voting Rights Act § 2(a), codiﬁed at 42 U.S.C. § 1973(a). 247. Idem § 2(b). 248. 478 U.S. at 50. 249. Idem at 46. 250. Johnson v. DeGrandy, 512 U.S. 997 (1994). 251. Voting Rights Act § 2(b), codiﬁed at 42 U.S.C. § 1973(b); Johnson, 512 U.S. at 1013–14. 252. Johnson, 512 U.S. at 1017–18.

230

Notes to Pages 90–98

253. Idem at 1018–19 & n.81. 254. See Samuel Issacharoff, Supreme Court Destabilization of Single-member Districts, 1995 U. Chi. Legal F. 205, 222 (1995); comments by panelist Pamela S. Karlan, Conference: The Supreme Court, Racial Politics, and the Right to Vote: Shaw v. Reno and the Future of the Voting Rights Act, 44 Am. U. L. Rev. 1, 9 (1994). 255. Shaw v. Reno, 509 U.S. 630 (1993). 256. Thornburg v. Gingles, 478 U.S. 30, 84 (1986) (O’Connor, J., concurring). The issue of whether proportionality is relevant to political gerrymandering arose in Vieth v. Jubelirer, 541 U.S. 267 (2004). The plurality in Vieth determined that political gerrymandering cases were nonjusticiable (idem at 286–90; plurality opinion). This decision effectively rejected the plaintiff ’s theory that partisanship in political gerrymandering was unacceptable. The plurality listed several reasons for its decision. First, determining when partisanship renders political gerrymandering unconstitutional would be an unmanageable constitutional obligation for the court (idem at 286). Second, the effects standard previously established in Davis v. Bendemer, 478 U.S. 109 (1986)—whether a political party has been “denied of its chance to effectively inﬂuence the process,” Vieth, 541 U.S. at 286 (citing Davis, 478 U.S. at 132–33)—was rejected because the Court found that political afﬁliation was not so easily discernable and sufﬁciently permanent as race to serve as a basis for a constitutional standard and a remedy (idem at 286–90). Finally, the plurality rejected the plaintiffs’ proposed standard because it rested on the principle, unsupported by the Constitution, that groups have a right to proportional representation (idem at 288).

chapter 5 1. The Court’s balancing approach is extensively discussed in Richard S. Frase, What Were They Thinking? Fourth Amendment Unreasonableness in Atwater v. City of Lago Vista, 71 Fordham L. Rev. 329, 348–89 (2002) (hereinafter Frase, “Atwater”). For more recent cases using balancing, see Sampson v. California, 126 S.Ct. 2193 (2006) (upholding an ofﬁcer’s suspicionless body search of a parolee), and Illinois v. Lidster, 540 U.S. 419 (2004) (upholding a roadblock designed to ﬁnd witnesses to a fatal hit-and-run accident that had occurred at that spot one week earlier). 2. See generally 1 Joshua Dressler & Alan C. Michaels, Understanding Criminal Procedure §§ 8.06, 17.01–18.05 (4th ed. 2006), and Frase, “Atwater,” supra note 1, at 348–89. 3. In Florida v. Royer, 460 U.S. 491, 500 (1983), and United States v. Place, 462 U.S. 696, 709 (1983), the Court invalidated temporary seizures in part because the police failed to use a less intrusive alternative. But later cases, while still requiring that the police pursue their investigation “diligently,” rejected any formal “least intrusive means” standard. See, e.g., United States v. Sokolow, 490 U.S. 1, 10–11 (1989) (use of drug courier proﬁle); Skinner v. Railway Labor Executives’ Assn., 489 U.S. 602, 629 n.9 (1989) (employee drug testing); Colorado v. Bertine, 479 U.S. 367, 374,

Notes to Pages 98–101

231

375 (1987) (car inventory); Illinois v. Lafayette, 462 U.S. 640, 647, 648 (1983) (jail inventory); United States v. Sharpe, 470 U.S. 675, 686–87 (1985) (duration of Terry stop); Belton v. New York, 453 U.S. 454, 458–460 (1981) (search incident to arrest); and United States v. Martínez-Fuerte, 428 U.S. 543, 557 n.12 (1976) (immigration checkpoint). 4. See, e.g., Akhil Reed Amar, Terry and Fourth Amendment First Principles, 72 St. John’s L. Rev. 1097, 1098, 1120–23 (1998); Sherry F. Colb, The Qualitative Dimensions of Fourth Amendment “Reasonableness,” 98 Colum. L. Rev. 1642, 1724– 25 (1998); Frase, “Atwater,” supra note 1, at 389–94; Christopher Slobogin, Let’s Not Bury Terry: A Call for Rejuvenation of the Proportionality Principle, 72 St. John’s L. Rev. 1053 (1998). Other Fourth Amendment articles that implicitly apply proportionality principles include Anthony G. Amsterdam, Perspectives on the Fourth Amendment, 58 Minn. L. Rev. 349, 436–37 (1974); Timothy P. O’Neill, Beyond Privacy, Beyond Probable Cause, Beyond the Fourth Amendment: New Strategies for Fighting Pretext Arrests, 69 Colo. L. Rev. 693, 719–24 (1998); and William J. Stuntz, O.J. Simpson, Bill Clinton, and the Transubstantive Fourth Amendment, 114 Harv. L. Rev. 842, 869–76 (2001). 5. 335 U.S. 451, 459 (1948) (Jackson, J., concurring). 6. Atwater v. City of Lago Vista, 532 U.S. 318, 364, 371–72 (2001). Ms. Atwater was a long-time resident of the town, her identity was well known to the arresting ofﬁcer, and there was no reason to fear imminent danger or continued violations if, as would be the normal procedure, she were released on citation. See generally Frase, “Atwater,” supra note 1 (critiquing Court’s ruling in Atwater and proposing workable subconstitutional limits on arrests in minor trafﬁc cases). 7. Frase, “Atwater,” supra note 1, at 373–74. 8. 466 U.S. 740, 753–54 (1984). 9. Idem at 751, 753 (citing Dorman v. United States, 435 F. 2d 385, 392 (1970)). 10. McDonald, 335 U.S. at 459 (Jackson, J., concurring). 11. Welsh, 466 U.S. at 754. The Court doubted that the defendant was a danger to the public since he had voluntarily returned home and gone to bed (idem at 753). 12. See Dressler & Michaels, supra note 2, § 9.02. See also Thomas Y. Davies, The Fictional Character of Law-and-Order Originalism: A Case Study of the Distortions and Evasions of Framing-Era Arrest Doctrine in Atwater v. Lago Vista, 37 Wake Forest L. Rev. 239, 322–26 (2002) (discussing other common law distinctions between felony and misdemeanor arrest powers). The Court has never decided whether any aspect of the in-presence rule is enforceable under the Fourth Amendment (Frase, “Atwater,” supra note 1, at 391). 13. 471 U.S. 1, 11–12 (1985). The Court implicitly adopted the deadly force limits of the Model Penal Code, Section 3.07(2)(b)(iv), and the lower court explicitly did so (idem at 6 n.7). The linkage of Fourth Amendment standards with Model Penal Code justiﬁcation rules shows that constitutional and subconstitutional proportionality principles regulating use of force draw from similar underlying values. For further discussion of subconstitutional principles see chapter 6, part B.

232

Notes to Pages 102–104

14. 15. 16. 17.

Idem at 11. 490 U.S. 386, 396 (1989). 469 U.S. 221, 229 (1985). See, e.g., State v. Amburgy 701 N.E. 2d 728, 731 (Ohio App. 1997); State v. Holmes, 569 N.W. 2d 181, 185 (Minn. 1997). 18. See e.g., Wilson v. Shelby County et al., 95 F. Supp. 2d 1258, 1262–63 (N.D. Ala. 2000) (eight federal circuits have condemned blanket strip search policies applied to minor-offense detainees); Welsh v. Wisconsin, 466 U.S. 740, 751 (1984) (lower courts have long considered offense seriousness an important factor in assessing whether exigent circumstances permit warrantless entry of a home). See generally Eugene Volokh, Crime Severity and Constitutional Line-drawing, 90 Va. L. Rev. 1957 (2004); William A. Schroeder, Factoring the Seriousness of the Offense into Fourth Amendment Equations: Warrantless Entries into Premises: The Legacy of Welsh v. Wisconsin, 38 U. Kan. L. Rev. 439, 444 n.26 (1990). 19. 342 U.S. 1 (1951). 20. Idem at 5. But see United States v. Salerno, 481 U.S. 739, 754–55 (1987) (the Eighth Amendment does not require setting bail at all, and the state’s legitimate interests include prevention of further crime and/or threats to witnesses, as well as prevention of ﬂight). 21. 18 U.S.C. §§ 3142(b) and (c). See also idem at § 3142(e), (f), and (g) (providing that the court may also deny release and issue a detention order upon ﬁnding that no combination of release conditions will reasonably ensure appearance and safety). 22. German proportionality limits on arrest and pretrial detention are discussed in Richard S. Frase & Thomas Weigend, German Criminal Justice as a Guide to American Law Reform: Similar Problems, Better Solutions? 18 B.C. Int’l & Compar. L. Rev. 317, 326–29 (1995). See also French Code of Criminal Procedure, Preliminary Article, sec. III, which incorporates both means- and ends-proportionality concepts (all “restrictive measures” imposed on suspects and defendants must be “strictly limited to the necessities of the procedure [and] proportional to the seriousness of the alleged offense”); idem art. 144, para. 1 (the court may not order pretrial detention unless this is “the only way” to achieve one or more of deﬁned purposes of detention). 23. See, e.g., Ohio Const. art. I., § 9 (no bail required for nonjailable offenses); Minn. Stat. § 629.471 (maximum bail in misdemeanor cases is normally double the highest authorized ﬁne, though for some offenses the maxima are four or six times higher); Ex parte Thomas, 815 So. 2d 592, 595 (Ala. Crim. App. 2001) (as a rule of thumb, bail should equal $1,000 times the maximum sentence (in years) the accused could face on the charges); In re Periandri, 756 N.E. 2d 682, 684–85 (Ohio Ct. App. 2001) (Cuyahoga County Court of Common Pleas guidelines set higher maxima for more serious offenses); 1987 R.I. Lexis 408 (similar bail guidelines). 24. See, e.g., Ex parte Durst, 148 S.W. 3d 496 (Tex. Ct. App. 2004) (lowering bail from $3 billion to $450,000; despite ﬂight and evidence-tampering risks and defendant’s great wealth, the amount set by the lower court was too high for bail-jumping and

Notes to Pages 104–109

233

evidence-tampering charges; in most cases, the court ruled, offense severity and expected sentence are the “controlling factors,” though the “triple risk” in this case makes them only “important” factors; the court also found that lower bail combined with other release conditions would adequately ensure appearance). 25. For another example of the use of proportionality as an evidentiary tool see part E. 26. See, e.g., Ex parte Lonardo, 89 N.E. 2d 502 (Ohio Ct. App. 1949) (bail of $75,000 was too high for the minor crime of “being a suspicious person”; defendants had numerous prior convictions, and the prosecutor argued they were dangerous organized crime ﬁgures); People ex rel. Sammons v. Snow, 173 N.E. 8 (Ill. 1930) (bail of $50,000 was too high for the crime of vagrancy; defendant had a record of numerous violent crimes and a prison escape). 27. 390 U.S. 570, 583 (1968). Cf. Corbitt v. New Jersey, 439 U.S. 212, 218, 221 n.9 (1978) and Brady v. United States, 397 U.S. 742, 746 (1970) (distinguishing Jackson and emphasizing the unnecessary-burden rationale of that case). 28. 483 U.S. 44, 55–56 (1987). In Holmes v. South Carolina, 547 U.S. 319 (2006) the Court cited Rock and unanimously held that exclusion of the defendant’s proffered alternative-perpetrator evidence denied him a fair trial. 29. 380 U.S. 609, 613–15 (1965). 30. 529 U.S. 61, 65–66 (2000). 31. 406 U.S. 605, 610 (1972). 32. Idem at 611. 33. 544 U.S. 622, 624, 626 (2005) (quoting Holbrook v. Flynn, 475 U.S. 560, 568–69 (1986), and tracing the antishackling rule back to Blackstone’s Commentaries). 34. Idem at 634–35. 35. 539 U.S. 166 (2003). See also Riggins v. Nevada, 504 U.S. 127 (1992) (trial competency) and Washington v. Harper, 494 U.S. 210 (1990) (dangerous prison inmate). 36. Sell, 539 U.S. at 179–180. See also idem at 180–82, 186. 37. 494 U.S. 210, 223–25 (1990). 38. Cf. Riggins v. Nevada, 504 U.S. 127, 140–41 (1992) (Kennedy, J., concurring) (trialcompetency cases are different from and cause more concern than dangerousinmate cases). For further discussion of cases that involve treatment of prisoners see chapter 7, part C. 39. See, e.g., Susan Klein, Redrawing the Criminal-Civil Boundary, 2 Buffalo Crim. L. Rev. 679 (1999). However, civil forfeitures straddle this divide: They are subject to the Eighth Amendment excessive ﬁnes clause but are generally not subject to criminal procedure safeguards. For further discussion of forfeitures see chapter 7, part D. 40. See Kansas v. Hendricks, 521 U.S. 346, 356 (1997) (civil commitment); U.S. v. Salerno, 481 U.S. 739, 746–48 (1987) (detention without bail); U.S. v. Ward, 448 U.S. 242, 248 (1980) (civil penalty of $5,000); Bell v. Wolﬁsh, 441 U.S. 520, 535 (1979) (conditions of pretrial detention). See further discussion of prison and jail cases in chapter 7, part C.

234

Notes to Pages 109–111

41. See, e.g., Kennedy v. Mendoza-Martínez, 372 U.S. 144 (1963) (revocation of draft evader’s citizenship). 42. See, e.g., Hudson v. United States, 522 U.S. 93 (1997) (double jeopardy); Smith v. Doe, 538 U.S. 84 (2003) (ex post facto). 43. See John H. Ely, Democracy and Distrust: A Theory of Judicial Review 146 (Harvard Univ. Press 1980). For further discussion of strict scrutiny see chapter 3. 44. See, e.g., United States v. Halper, 490 U.S. 435 (1989) (civil penalty for false claims bore no rational relation to compensation of government for its losses and enforcement costs. The Court repeatedly labeled the penalty as “disproportionate” (idem at 446 n.6, 449, 450, 452). 45. Hudson, 522 U.S. at 101 (disapproving Halper because that case seemed to treat the excessiveness factor as dispositive). 46. Smith, 538 U.S. at 103. 47. Cf. Roy G. Spece Jr., Justifying Invigorated Scrutiny and the Least Restrictive Alternative as a Superior Form of Intermediate Review: Civil Commitment and the Right to Treatment as a Case Study, 21 Ariz. L. Rev. 1049, 1054–56 (1979). 48. See, e.g., State ex rel. K. W. v. Werner, 242 S.E. 2d 907, 913 (W.Va. 1978) (requiring that juveniles receive the least restrictive alternative treatment consistent with the purpose of their custody, citing state and federal cases); State v. Krol, 344 A. 2d 289, 300–301 (N.J. 1975) (indeﬁnite commitment order must achieve public safety “in a fashion that reasonably minimizes infringements upon defendant’s liberty and autonomy”). 49. See U.S. v. Leon, 468 U.S. 897, 907 (1984) (admissibility is determined by “weighing the costs and beneﬁts of preventing the use in the prosecution’s case in chief of inherently trustworthy tangible evidence”). 50. Rakas v. Illinois, 439 U.S. 128, 136–37 (1978). 51. See, e.g., Pennsylvania v. Scott, 524 U.S. 357, 364 (1998) (parole revocation hearing); U.S. v. Havens, 446 U.S. 620, 627–28 (1980) (impeachment). 52. See, e.g., Calandra v. U.S., 414 U.S. 338, 351–52 (1974) (costs of extending exclusionary rule to grand jury proceedings not justiﬁed by limited probable added deterrence of police misconduct). See also Teague v. Lane, 489 U.S. 288, 310 (1989) (costs imposed on states by retroactive application in habeas cases of new constitutional rules far outweigh beneﬁts). 53. 422 U.S. 590, 603–604 (1975). 54. See also Model Code of Pre-arraignment Procedure § 290.2(2) (unless constitutionally required, motions to suppress evidence “shall be granted only if the court ﬁnds that the violation was substantial,” considering the degree and willfulness of violation, extent of privacy invasion, and extent that exclusion would help prevent violations). 55. Bentham’s utilitarian proportionality principles are discussed further in chapter 7. 56. See, e.g., State v. Fakler, 503 N.W. 2d 783, 787–88 (Minn. 1993); City of Kettering v. Hollen, 416 N.E. 2d 598, 600 (Ohio 1980). 57. 401 U.S. 222 (1971).

Notes to Pages 111–116

235

58. Idem at 225 (emphasis added). 59. 124 S. Ct. 2620, 2622, 2628, 2630 (2004). See also idem at 2627 (“[A]ny further extension of these [Miranda] rules must be justiﬁed by its necessity.”). 60. 538 U.S. 760, 779 (2003) (Souter, J., concurring). 61. See, e.g., Dickerson v. United States, 530 U.S. 428, 440 (2000) (Miranda procedures are constitutionally required in the absence of alternative safeguards that are “at least as effective in apprising accused persons of their right of silence and in assuring a continuous opportunity to exercise it”); Mapp v. Ohio, 367 U.S. 643, 652 (1961) (the exclusionary rule is constitutionally required because some effective remedy is needed, and other remedies such as administrative discipline and damage suits have proved “worthless and futile”). But see Hudson v. Michigan, 126 S. Ct. 2159, 2167 (2006) (alternative remedies have improved since Mapp). 62. See Stephen A. Saltzburg & Daniel J. Capra, American Criminal Procedure: Cases and Commentary, 586–88 (8th ed. 2007). 63. 424 U.S. 319, 347–48 (1976) (holding that the cost and administrative burdens of requested welfare termination procedures would outweigh the likely beneﬁts of these added safeguards). 64. Blanton v. City of North Las Vegas, 489 U.S. 538, 543 (1989). See also Baldwin v. New York, 399 U.S. 66, 69–70 (1970); Duncan v. Louisiana, 391 U.S. 145, 159 (1968). 65. 372 U.S. 335 (1963). 66. Scott v. Illinois, 440 U.S. 367 (1979) (jail sentence); Alabama v. Shelton, 535 U.S. 654 (2002) (suspended jail sentence). In contrast, the pretrial right to counsel during custodial interrogation, recognized in Miranda v. Arizona, applies regardless of the sentence authorized or imposed (Berkemer v. McCarty, 468 U.S. 420, 434 (1984)). However, all Miranda rights are inapplicable when police questioning is “reasonably prompted by a concern for public safety” (e.g., “Where’s the gun?”) (New York v. Quarles, 467 U.S. 649, 655–56 (1984) ). The Quarles exception reﬂects ends-beneﬁts proportionality and is analogous to the power police have to use deadly force when dealing with a dangerous suspect. See supra part A. 67. Duncan, 391 U.S. at 160. There was no similar historical basis for limiting counsel rights in minor cases (Argersinger v. Hamlin, 407 U.S. 25, 30 (1972)). 68. Duncan, 391 U.S. at 160. 69. 440 U.S. at 373. 70. See, e.g., Minn. Const. art. I, § 6 (jury size); Minn. R. Crim. P. 5.02 (appointed counsel); idem at 9 (pretrial discovery); idem at 11, 12 (mandatory pretrial omnibus hearing for felonies and gross misdemeanors, optional pretrial conference and hearing for misdemeanors); idem at 26.01, subd. 1 ( jury trial rights); idem at 28.02, subd. 4(3) (appeal time limits).

chapter 6 1. Other constitutional limitations on criminal liability (as well as on noncriminal measures) are designed to protect First Amendment, equal protection,

236

Notes to Pages 116–119

and other fundamental rights. These limits are examined in the discussions of judicial review levels (e.g., strict and intermediate scrutiny, rational basis) in chapter 3. 2. Bouie v. City of Columbia, 378 U.S. 347, 353–54 (1964). But see Rogers v. Tennessee, 532 U.S. 451 (2001) (judicial abolition of common law requirement that the murder victim die within a year and a day from the defendant’s acts was neither unexpected nor indefensible and thus did not violate due process). 3. City of Chicago v. Morales, 527 U.S. 41, 56 (1999). Such laws are also invalid because they “authorize and even encourage arbitrary and discriminatory enforcement” (idem). 4. 379 U.S. 559 (1965). 5. 355 U.S. 225, 228–30 (1957). 6. Joshua Dressler, Understanding Criminal Law 42 (4th ed. 2006); Herbert L. Packer, The Limits of the Criminal Sanction 79–99 (Stanford Univ. Press 1968). 7. Lambert, 355 U.S. at 229. 8. 370 U.S. 660 (1962). 9. Dressler, supra note 6, at 105; Packer, supra note 6, at 73–79. 10. Robinson, 370 U.S. at 667. 11. Idem at 666–67. 12. See William Stuntz, The Uneasy Relationship Between Criminal Procedure and Criminal Justice, 107 Yale L.J. 1, 68 n.234 (1997) (citing several 1962 articles). 13. 392 U.S. 514 (1968). 14. Dressler, supra note 6, at 107 (noting that dissenters and Justice White would not allow the conviction of an addict for using drugs). Justice White also stated that he would not vote to convict a homeless alcoholic for being drunk in public (Powell, 392 U.S. at 551). 15. Jones v. City of Los Angeles, 444 F. 3d 1118 (9th Cir. 2006); Tobe v. City of Santa Ana, 27 Cal. Rptr. 2d 386 (Cal. App. 1994); Pottinger v. City of Miami, 810 F. Supp. 1551 (S.D. Fla. 1992). See generally Benno Weisberg, When Punishing Innocent Conduct Violates the Eighth Amendment: Applying the Robinson Doctrine to Homelessness and Other Contextual “Crimes,” 96 J. Crim. L. & Criminol. 329 (2005) (Eighth Amendment should ban conviction for conduct that is criminal only under circumstances the defendant cannot avoid). 16. Tobe, 27 Cal. Rptr. 2d at 393–95; Pottinger, 810 F. Supp. at 1580–83. 17. See, e.g., State v. Guminga, 395 N.W. 2d 344, 346–47 (Minn. 1986); Davis v. City of Peachtree City, 304 S.E. 2d 701 (Ga. 1983); Commonwealth v. Koczwara, 155 A. 2d 825 (Pa. 1959) (barring custody sentence but not conviction). Cf. U.S. v. Park, 421 U.S. 658, 665 n.9 (1975) (upholding the conviction of the president of a national retail food chain for allowing rodent contamination in one of the company’s warehouses, based solely on his CEO status). 18. See, e.g., Guminga, 395 N.W. 2d at 347 (“such an intrusion on personal liberty is not justiﬁed by the public interest protected, especially when there are

Notes to Pages 119–123

237

alternative means by which to achieve the same end, such as civil ﬁnes or license suspension”). 19. Cf. Packer, supra note 6, at 137–39 (retributive rationale for the reasonable doubt rule). In parallel fashion, the limiting retributive severity principle gives greater emphasis to avoiding penalties that are too severe than it does to avoiding those that are too lenient (see further discussion in chapter 7, part F). 20. In re Winship, 397 U.S. 358, 364 (1970). 21. H.L.A. Hart, Punishment and Responsibility: Essays in the Philosophy of Law 8, at 27, 236–37 (Oxford Univ. Press 1968). 22. Packer, supra note 6, at 16, 62, 66. 23. Packer, supra note 6, at 95. However, in United States v. Lanier, 520 U.S. 259, 266 (1997), the Court seemed to suggest that under at least some circumstances the rule of lenity is constitutionally required by the due process clauses. See also Wayne R. LaFave, Criminal Law 88 n.28 (4th ed. 2003) (the “fair warning” principle underlies constitutional and subconstitutional doctrines of lenity, vagueness, ex post facto, and abolition of common law crimes). 24. LaFave, supra note 23, at 89; U.S. v. Bass, 404 U.S. 336, 348 (1971). 25. LaFave, supra note 23, at 77–78. 26. Amer. Law Inst., Model Penal Code and Commentaries, parts I & II (1985), § 2.05, cmt. 1. 27. Model Penal Code § 2.02(1). “Material” elements exclude technical matters such as the statute of limitations, jurisdiction, and venue (idem § 1.13(10)). 28. See Dressler, supra note 6, at 128–29 (mens rea is more of a retributive than a utilitarian requirement). 29. Packer, supra note 6, at 69, 261. 30. See LaFave, supra note 23, at 278–79 (citing Alaska and Louisiana cases). 31. N.Y. Penal Law § 15.15(2), applied in People v. Ryan, 626 N.E. 2d 51 (N.Y., 1993). 32. In re Welfare of C.R.M., 611 N.W. 2d 802 (Minn. 2000) (requiring clear legislative intent to dispense with proof of mens rea, particularly for felony-level crimes, and holding that the crime of possessing a knife on school property requires knowingly being in possession). 33. 342 U.S. 246 (1952). 34. 438 U.S. 422, 438, 443–46 (1978). 35. 471 U.S. 419, 426 (1985). 36. Idem at 426. The Court also based its decision on the rule of lenity (discussed earlier). 37. See Cheek v. U.S., 498 U.S. 192 (1991) (tax evasion and failure to ﬁle); Ratzlaff v. U.S., 510 U.S. 135 (1994) (structuring of currency transactions). See also James v. U.S., 366 U.S. 213 (1961) (willful tax evasion could not be shown in light of the gloss that a prior case (overruled in James) had placed on the statute at issue). 38. 511 U.S. 600 (1994). 39. 513 U.S. 64 (1994).

238

Notes to Pages 124–130

40. See generally John S. Wiley, Not Guilty by Reason of Blamelessness: Culpability in Federal Criminal Interpretation, 85 Va. L. Rev. 1021, 1023 (1999). 41. Model Penal Code § 2.01(1) (criminal liability requires proof of “a voluntary act or the omission to perform an act of which [defendant] is physically capable”). 42. Dressler, supra note 6, at 99. 43. 138 N.E. 2d 799 (N.Y. 1956) (afﬁrming convictions for negligent homicide). 44. Dressler, supra note 6, at 53, 237–38. Exceptions to these rules can be found in many states, however, and laws that cut back retreat, necessity, or proportionalforce requirements have been enacted with increasing frequency in recent years. See generally Renee Lettow Lerner, The Worldwide Popular Revolt Against Proportionality in Self-defense Law, 2 J. L. Econ. & Policy 331 (2006). See also Stuart P. Green, Castles and Carjackers: Proportionality and the Use of Deadly Force in Defense of Dwellings and Vehicles, 1999 U. Ill. L. Rev. 1. 45. See, e.g., Dressler, supra note 6, at 238. 46. Model Penal Code § 3.02. See also chapter 5, part A, which discusses Fourth Amendment limits on police use of deadly force that resemble restrictions on the justiﬁed use of deadly force in law enforcement under Model Penal Code § 3.07. 47. See, e.g., Dressler, supra note 6, at 224–25. 48. Some writers and criminal codes also include, under excuse rather than justiﬁcation, cases of reasonable mistake as to justifying conditions. See, e.g., Paul Robinson, Criminal Law 451–61 (1997). 49. Dressler, supra note 6, at 219, 226; Sanford H. Kadish, Excusing Crime, 75 Calif. L. Rev. 257, 263–66. 50. Dressler, supra note 6, at 54–58; Packer, supra note 6, at 143. 51. Packer, supra note 6, at 117–18 discusses a similar mountain-road example and agrees that reasons of fairness, not utility, argue for permitting a defense of excuse in such cases.

chapter 7 1. Compare Pamela S. Karlan, “Pricking the Lines”: The Due Process Clause, Punitive Damages, and Criminal Punishment, 88 Minn. L. Rev. 880, 903–14 (2004) (arguing that punitive damages awards justify stricter constitutional scrutiny than prison sentences because the former cannot be reviewed by lower federal courts; they are imposed by untrained local juries, not judges and legislators, and they can be objectively compared to the compensatory damages award in the same case), with Richard S. Frase, Excessive Prison Sentences, Punishment Goals, and the Eighth Amendment: “Proportionality” Relative to What? 89 Minn. L. Rev. 571, 609 (2005) (hereinafter Proportionality) (pointing out that damages do not involve physical liberty; that the typical, well-ﬁnanced civil defendants can better defend themselves than most criminal defendants; and that trial judges can set aside excessive damages awards, whereas criminal defendants often have no subconstitutional remedies against excessive prison terms; also noting that in at least three

Notes to Pages 130–132

239

respects—de novo review, more frequent use of comparative analysis, and more lenient treatment of recidivists (only violations of a similar nature, committed in the same state, may be used to justify a punitive damages award)—the Court seems to be much more protective of civil defendants’ bank accounts than it has been of criminal defendants’ liberty). 2. See, e.g., Wilkerson v. Utah, 99 U.S. 130 (1878) (upholding execution by ﬁring squad). 3. 217 U.S. 349 (1910). 4. Idem at 367. But see Badders v. United States, 240 U.S. 391 (1916); Graham v. West Virginia, 224 U.S. 616 (1912) (upholding prison terms; no mention of Weems). 5. 356 U.S. 86, 100–101 (1958). 6. 370 U.S. 660 (1962) (crime of narcotics addiction violates Eighth Amendment). 7. 392 U.S. 514 (1968) (crime of public drunkenness is constitutional). 8. 433 U.S. 584, 592 n.4 (1977) (holding that the death penalty is grossly disproportionate to the crime of raping an adult woman, even if that penalty might measurably serve some punishment goals). 9. See, e.g., Roper v. Simmons, 543 U.S. 551, 571 (2005). 10. See, e.g., idem at 570–71 (2005) (offenders under eighteen at the time of the offense); Atkins v. Virginia, 536 U.S. 304, 319 (2002) (offenders with mental retardation); Tison v. Arizona, 481 U.S. 137, 158 (1987) (accomplice’s major participation in a felony resulting in death, combined with reckless indifference to human life); Enmund v. Florida, 458 U.S. 782, 800–801 (1982) (felony murder accomplice’s limited intent and role in the offense); Coker, 433 U.S. at 598 (“in terms of moral depravity and of the injury to the person and to the public, [rape of an adult woman] does not compare with murder”). Scholars have also emphasized retributive principles; see, e.g., Margaret J. Radin, The Jurisprudence of Death: Evolving Standards for the Cruel and Unusual Punishments Clause, 126 U. Pa. L. Rev. 989, 1056 (1978) (“a punishment is excessive and unconstitutional . . . if it inﬂicts more pain than the individual deserves”). 11. Bruce W. Gilchrist, Disproportionality in Sentences of Imprisonment, 79 Colum. L. Rev. 1119, 1147 (1979). 12. See further discussion of European standards in chapter 1. Actions that fail the rational basis test are excessive and therefore arguably disproportionate in the sense that they impose totally useless costs or burdens. 13. Several justices and scholars have taken this view of the death penalty generally. See Furman v. Georgia, 408 U.S. 238, 300–302 (Brennan, J., concurring); idem, 408 U.S. at 331–32, 342–59 (Marshall, J., concurring); Margaret R. Gibbs, Eighth Amendment: Narrow Proportionality Requirement Preserves Deference to Legislative Judgment, 82 J. Crim. L. & Criminology 955, 976 (1992) (“If there is a signiﬁcantly less severe punishment adequate to achieve the purposes for which the punishment is inﬂicted, then this would also contribute to a conclusion of disproportionality.”); Michael Herz, Nearest to Legitimacy: Justice White and Strict Rational Basis Scrutiny, 74 U. Colo. L. Rev. 1329, 1352 (2003) (“[W]hat matters in

240

Notes to Pages 132–135

determining whether capital punishment for a particular offense is ‘needless’ is the incremental deterrent effect of capital punishment as opposed to lengthy, or life-long, imprisonment.”). 14. See Gregg v. Georgia, 428 U.S. 153, 173 (1976) (plurality opinion) (“punishment must not involve the unnecessary and wanton inﬂiction of pain”). The Gregg opinion also stated “we cannot invalidate a category of penalties because we deem less severe penalties adequate to serve the ends of penology” (idem at 182–83). However, the later cases we cite (Enmund, Atkins, and Roper) imply a “less-woulddo-just-as-well” approach, at least for certain offenders. 15. Enmund, 458 U.S. at 798–800 (accomplices); Atkins, 536 U.S. at 319–20 (offenders with mental retardation); Roper, 543 U.S. at 572 (offenders under eighteen). 16. Roper, 543 U.S. at 572. 17. See, e.g., Morales v. Tilton, 465 F. Supp. 2d 972 (N.D. Cal. 2006), and cases cited therein. See generally, Note, A New Test for Evaluating Eighth Amendment Challenges to Lethal Injections, 120 Harv. L. Rev. 1301 (2007). 18. See, e.g., Morales, 465 F. Supp. 2d at 974, 981. 19. See Wilkerson v. Utah, 99 U.S. 130, 135–36 (1878), stating that the Eighth Amendment prohibits “punishments of torture . . . and all others in the same line of unnecessary cruelty,” and State of La. ex rel. Francis v. Resweber, 329 U.S. 459, 463 (1947), opining that the amendment bans “unnecessary pain” during execution. 20. 128 S. Ct. 1520 (2008). 21. Idem at 1532. At several points Justice Roberts also suggested that the risk of pain must be found to be “objectively intolerable.” Idem at 1531, 1532, 1535, 1537. Justices Scalia and Thomas concurred in the judgment, but appeared to reject any consideration of unnecessary risk of pain; these two justices maintained that the Eighth Amendment only bans methods of execution that are “deliberately designed to inﬂict pain.” Idem at 1556 (Thomas, J., concurring). 22. 463 U.S. 277, 290–92 (1983). 23. 445 U.S. 263 (1980). 24. Idem at 280, 293; Solem v. Helm, 463 U.S. 277, 301–302 (1983) (stating Rummel facts). 25. Rummel, 445 U.S. at 272 (citing Coker v. Georgia, 433 U.S. 584, 592 (1977)). 26. Idem at 275. 27. Idem at 275–76. 28. Idem at 302. 29. 454 U.S. 370 (1982) (per curiam). 30. Idem at 377–79 (Powell, J., concurring). Davis’s severe sentence may also have been due in part to the fact that he was an African American man who, in a rural Virginia community, had dared to date white women and marry one. See Steven Grossman, Proportionality in Non-capital Sentencing: The Supreme Court’s Tortured Approach to Cruel and Unusual Punishment, 84 Ky. L. J. 107, 120 n.80 (1996). 31. 483 F. 2d 136, 140–43 (4th Cir. 1973).

Notes to Pages 135–140

241

32. 463 U.S. 277 (1983). 33. Idem at 289. 34. Idem at 289–90 (citing Rummel v. Estelle, 445 U.S. at 272 (1980)). 35. Idem at 290–91. 36. Idem at 290–93. Although not cited by Justice Powell, lower courts had previously recognized similar factors. In addition to Hart v. Coiner, 483 F. 2d 136 (4th Cir. 1973), see State v. Fain, 617 P. 2d 720, 725–26 (Wash. 1980) (adopting the four Hart factors); Martin v. Leverette, 244 S.E. 2d 39, 43 (W. Va. 1978) (same); In re Foss, 519 P. 2d 1073, 1078–79 (Cal. 1974) (factors similar to Hart 1 through 4); In re Lynch, 503 P. 2d 921 (Cal. 1972) (factors similar to Hart 1, 3, and 4); People v. Lorentzen, 194 N.W. 2d 827, 831–33 (Mich. 1972) (factors similar to Hart 3 and 4). 37. Solem, 463 U.S. at 290–91. 38. Powell argued that Helm’s severe sentence was “unlikely to advance the goals of our criminal justice system in any substantial way” and in particular was unlikely to provide treatment for his alcoholism or other rehabilitation measures (idem at 297 n.22). He also noted that certain less punished South Dakota offenders were more “deserving” of punishment (idem at 299). 39. Idem at 296 n.21. 40. 501 U.S. 957 (1990). 41. This penalty was later invalidated under the Michigan constitution in People v. Bullock, 485 N.W. 2d 866 (Mich. 1992). State constitutional provisions are discussed in part E of this chapter. 42. 501 U.S. at 994–95. 43. Idem at 994. 44. Idem at 996–1009. 45. Idem at 1005. 46. Idem at 1002. 47. Idem at 1003. In 1998 the Michigan legislature concluded the opposite and repealed life-without-parole sentences applicable to ﬁrst-time drug offenders, including those charged with drug sales. See Recent Legislation: Criminal Procedure, 76 U. Det. Mercy L. Rev. 679 (1999). 48. 501 U.S. at 1028–29 (Stevens, J., dissenting). Justice Stevens also argued that Harmelin’s severe sentence was as capricious (i.e., random) and therefore as cruel and unusual as being struck by lightning (idem; Stevens, J., dissenting). 49. Idem at 989. 50. Idem at 999. 51. 538 U.S. 11 (2003). 52. Idem at 25–28. For a critique of O’Connor’s evidence, see Proportionality, supra note 1, at 642 and sources cited therein. 53. 538 U.S. at 29–30. 54. Idem at 32 (Scalia, J., concurring). 55. Idem at 35 (Stevens, J., dissenting).

242

Notes to Pages 140–146

56. Idem at 41 (Breyer, J., dissenting) (citing Solem and Witte v. United States, 515 U.S. 389, 402–403 (1995) (a repeat offender is punished only for his conviction offense, deemed aggravated by prior convictions)). 57. In weighing the severity of Ewing’s twenty-ﬁve-year minimum sentence, Breyer noted that the defendant was thirty-eight years old, was seriously ill, and “will likely die in prison.” Idem at 39 (Breyer, J., dissenting). 58. Idem at 47, 52. 59. Idem at 52. 60. 538 U.S. 63 (2003). 61. 28 U.S.C. § 2254(d)(1). 62. Lockyer, 538 U.S. at 82. 63. See the earlier discussion of Rummel (Powell, J., dissenting), Harmelin (Stevens, J., dissenting), Ewing (Breyer, J., dissenting), Andrade (Souter, J., dissenting), Hart v. Coiner (four-factor test including whether a signiﬁcantly less severe penalty would serve the legislative purpose) and lower court cases adopting the Hart standards. 64. See Proportionality, supra note 1, at 628–29. 65. See Richard S. Frase, Comparative Perspectives on Sentencing Policy and Research, in Sentencing and Sanctions in Western Countries 279–81 (Michael Tonry & Richard S. Frase eds., Oxford Univ. Press 2001) (hereinafter Comparative Perspectives); Norval Morris & Colin Howard, Studies in Criminal Law 147–96 (Clarendon 1964); Dirk van Zyl Smit & Andrew Ashworth, Disproportionate Sentences as Human Rights Violations, 67 Mod. L. Rev. 541, 542–44 (2004) (hereinafter Disproportionate Sentences). 66. For further discussion see Proportionality, supra note 1, at 627–45. 67. Deterrence effects are doubtful in general. See Andrew von Hirsch et al., Criminal Deterrence and Sentence Severity: An Analysis of Recent Research 41–43 (Hart 1999); see also Proportionality, supra note 1, at 642 (critiquing the Ewing Court’s analysis of the deterrent and incapacitative effects of the California three-strikes law). 68. See Proportionality, supra note 1; see also part F, discussing assessments of costs and beneﬁts under ends-proportionality analysis. 69. Desert overbreadth arguments led the Canadian Supreme Court to invalidate a seven-year mandatory minimum penalty for importing narcotics. See Smith v. the Queen, discussed in part F. Desert overbreadth arguments are also implicit in a number of U.S. cases invalidating mandatory penalties. Some of these cases are discussed in part E. 70. See Harmelin v. Michigan, 501 U.S. 957, 1028–29 (Stevens, J., dissenting); See also Franklin E. Zimring et al., Punishment and Democracy: Three Strikes and You’re Out in California 194–200 (Oxford Univ. Press 2001) (three features of mandatory minimum statutes guarantee that these laws will result in excessive punishment of many offenders: the overaggregation and “worst-case” orientation inherent in picking a single penalty; the legislature’s disregard of the

Notes to Pages 146–148

243

important difference between symbolic and actual sanctions; and its inability to consider all offender- and case-speciﬁc mitigating factors). 71. Prisoners awaiting trial are not directly covered by the Eighth Amendment, but courts have used the due process clauses to grant many of the same protections and also to protect these inmates from harsh treatment intended as punishment before conviction. See Bell v. Wolﬁsh, 441 U.S. 520, 535–36, 538 (1979); Fuentes v. Wagner, 206 F. 3d 335, 344 (3rd Cir. 2000). For discussion of the standards used to identify impermissible pretrial punishment as opposed to a permissible nonpunitive, regulatory measure see chapter 5, part E). 72. Some state constitutions have provisions that protect persons in custody from “unnecessary rigor” or from being “abused.” These provisions are discussed in part E. 73. Inmate suits challenging the denial of speciﬁc constitutional rights are not governed by the Eighth Amendment but sometimes incorporate implicit meansproportionality principles. See, e.g., Turner v. Saﬂey, 482 U.S. 78, 94–99 (1987) (near-total ban on inmate marriages was an excessive response to valid security and rehabilitative concerns and thus impermissibly burdened inmates’ constitutional right to marry in light of available more narrowly tailored alternative measures). 74. 429 U.S. 97, 102–104 (1976). 75. 428 U.S. 153, 173, 183 (1976). The “evolving standards” language is from Trop v. Dulles, 356 U.S. 86, 101 (1958). See also Baze v. Rees, 128 S.Ct. 1520, 1531 (2008) (plurality opinion by Roberts, J.), using Eighth Amendment standards developed in prisoners’ rights cases to evaluate risks associated with lethal injection procedures. Baze is further discussed in part A. 76. See, e.g., Spain v. Procunier, 600 F. 2d 189 (9th Cir. 1979) (use of tear gas and neck chains); Stewart v. Rhodes, 473 F. Supp. 1185, 1193 (D. Ohio 1979) (lengthy chaining of inmates to beds). 77. See, e.g., Wright v. McMann, 460 F. 2d 126 (2d Cir. 1972); Adams v. Carlson, 368 F. Supp. 1050 (E.D. Ill. 1973). 78. Wilson v. Seiter, 501 U.S. 294, 298–99 (1991). 79. Farmer v. Brennan, 511 U.S. 825, 839, 847 (1994). 80. 452 U.S. 337, 347 (1981) (upholding double-celling of prison inmates). 81. Wilson, 501 U.S. at 304, 308. 82. Whitley v. Albers, 475 U.S. 312, 320 (1986). 83. Idem at 320–21 (1986) (inmate shot in the leg during a prison riot and hostage taking); Hudson v. McMillian, 503 U.S. 1, 6–7 (1992) (prisoner punched and kicked while cuffed and shackled and being led to the lockdown area). 84. Hudson, 503 U.S. at 9–10. 85. Nonproportionality standards are more defensible when applied to certain claims (e.g., inadequate medical care, failure to protect, or harsh prison conditions) that involve measures that are banned as inhumane and a violation of human dignity. 86. 536 U.S. 730, 737–45 (2002).

244

Notes to Pages 148–151

87. 256 F. 3d 679, 683–84 (7th Cir. 2001). 88. 466 F. Supp. 2d 51 (D.D.C. 2006). 89. Trammel v. Keane, 338 F. 3d 155, 163, 166 (2d Cir. 2003). 90. Hudson, 503 U.S. at 7. See also Williams v. Benjamin, 77 F. 3d 756, 765 (4th Cir. 1996) (unnecessary inﬂiction of pain for a prolonged time period supported inference that the guards were acting to punish the inmates rather than to quell the disturbance). 91. Whitley v. Albers, 475 U.S. 312, 319 (1986) (the test is not whether “it may appear in retrospect that the degree of force authorized or applied for security purposes was unreasonable, and hence unnecessary in the strict sense”). 92. 18 U.S.C. § 3626. 93. Magna Carta §§ 20–21 (ﬁnes should be graded according to offense seriousness and should also not deprive the offender of his livelihood). 94. Browning-Ferris Industries v. Kelco Disposal, 492 U.S. 257, 264 (1989) (at least eight states that ratiﬁed the Constitution had some equivalent of the excessive ﬁnes clause in their state constitutions or declarations of rights). 95. Idem at 262. The Court’s decisions limiting punitive damages awards under the due process clauses are discussed in chapter 4. 96. 509 U.S. 544, 558–59 (1993). 97. 509 U.S. 602, 609–10, 621–23 (1993). 98. 524 U.S. 321, 334–40 (1998). 99. Barry L. Johnson, Purging the Cruel and Unusual: The Autonomous Excessive Fines Clause and Desert-based Constitutional Limits on Forfeitures After United States v. Bajakajian, 2000 U. Ill. L. Rev. 461, 492–98; Karlan, supra note 1, at 901; Rachel Van Cleave, “Death is Different,” Is Money Different? Criminal Punishments, Forfeitures, and Punitive Damages: Shifting Constitutional Paradigms for Assessing Proportionality, 12 S. Cal. Interdisc. L. J. 217, 251–22 (2003). See further discussion of retributive principles in part F. 100. Susan R. Klein, The Discriminatory Application of Substantive Due Process: A Tale of Two Vehicles, 1997 U. Ill. L. Rev. 453, 482. 101. See, e.g., U.S. v. Heldeman, 402 F. 3d 220, 223 (1st Cir. 2005) (forfeiture of defendant’s $900,000 equity in his apartment following fraud and drug convictions held not excessive); see also U.S. v. Betancourt, 422 F. 3d 240, 250 (5th Cir. 2005) (forfeiture of $5.4 million lottery winnings from a ticket purchased with drug proceeds; excessive ﬁnes clause does not apply to contraband, fruits, or proceeds of illegal activity). But see U.S. v. 3814 N.W. Thurman St., 164 F. 3d 1191 (9th Cir. 1999) (seeming to adopt a narrow deﬁnition of crime fruits that are excluded from excessive ﬁnes protection). 102. See, e.g., U.S. v. 3814 N.W. Thurman St., 164 F. 3d 1191 (9th Cir. 1999) (invalidating forfeiture of $200,686 increase in property owner’s equity when fraudulently obtained loan was partly used to reduce liens on the property); One Car, 1996 Dodge X-Cab Truck v. State, 122 S.W. 3d 422 (Tex. Ct. App. 2003) (invalidating forfeiture of truck worth $11,000, containing trace amounts of methamphetamine).

Notes to Pages 151–155

245

103. See, e.g., Wilson v. Commissioner of Revenue, 656 N.W. 2d 547 (Minn. 2003) (applying excessive ﬁnes clauses to punitive assessment levied personally against corporate ofﬁcer of company employing a delinquent taxpayer after the company failed to honor a wage levy and holding that the $45,363 assessment was grossly disproportional both to the company’s failure to levy and to other authorized wage levy sanctions in the state and other jurisdictions). 104. See, e.g., State v. Rewitzer, 617 N.W. 2d 407 (Minn. 2000), using the Solem analysis to hold that $273,600 in ﬁnes and surcharges, imposed for the sale of twenty-four grams of marijuana and twenty-one grams of hallucinogenic mushrooms, violated both federal and state excessive ﬁnes clauses. 105. 923 P. 2d 163, 166 (Colo. Ct. App. 1995). See also People v. Pourat, 100 P. 3d 503 (Colo. Ct. App. 2004) (Malone ability-to-pay factor valid after Bajakajian, which did not rule on that issue). 106. 525 N.W. 2d 513 (Mich. Ct. App. 1994). 107. Idem at 515. 108. 699 A. 2d 767, 769 (Pa. Super. Ct. 1997). 109. See, e.g., U.S. v. Heldeman, 402 F. 3d 220, 223 (1st Cir. 2005) ($900,000 forfeiture upheld principally by comparison to $6 million maximum ﬁne, assuming consecutive $1 million ﬁnes on each of the six counts, noting that the forfeited amount was only 15 percent of the maximum possible ﬁne). 110. State v. Venman, 564 A. 2d 574, 581–82 (Vt. 1989). 111. See State v. Fain, 617 P. 2d 720, 725 (Wash. 1980) (noting that one purpose stated in the state penal code is “[t]o differentiate on reasonable grounds between serious and minor offenses, and to prescribe proportionate penalties for each”) (citing Rev. Code Wash. Sec. 9A.04.020(1)(d)). 112. See, e.g., Sterling v. Cupp, 625 P. 2d 123 (Or. 1981) (search by opposite-sex guard). 113. See, e.g., Abraham v. State, 585 P. 2d 526 (Alaska 1978) (remanded for hearings to effectuate defendant’s constitutional right to rehabilitative treatment of his alcoholism; defendant spoke only Yupik (Eskimo) and alleged there were no prison programs for such people). 114. See, e.g., Ascher v. Comm’r of Pub. Safety, 519 N.W. 2d 183, 187 (Minn. 1994) (rejecting the Fourth Amendment rule that permits suspicionless sobriety checkpoint stops of drivers despite identical wording of Minnesota and U.S. constitutional searchand-seizure provisions). See generally Charles H. Whitebread & Christopher Slobogin, Criminal Procedure: An Analysis of Cases and Concepts 1027–43 (4th ed. 2000) (reviewing state law expansions of constitutional rights related to search and seizure, interrogation, and other procedural issues). 115. See generally, Length of Sentence as Violation of Constitutional Provisions Prohibiting Cruel and Unusual Punishment, Howard J. Alperin, 33 A.L.R. 3d 335 (1970, updated through Feb. 12, 2008). Some state cases have struck down sentences under the Eighth Amendment, or under both the federal and state constitutions, without separate discussion of the state constitutional provision. See, e.g., Wilson v. State, 830 So.

246

Notes to Pages 155–158

116. 117.

118.

119. 120. 121.

122.

123. 124. 125.

126.

127.

128.

2d 765 (Ala. Crim. App. 2001); Crosby v. State, 824 A. 2d 894 (Del. Super. Ct. 2003); People v. Gaskins, 923 P. 2d 292 (Colo. Ct. App. 1996); Humphrey v. Wilson, 652 S.E. 2d 501 (Ga. 2007). See also State v. Davis, 79 P. 3d 64 (Ariz. 2003) (invalidating mandatory consecutive sentences totaling fifty-two years without possibility of release for statutory rape); but see State v. Berger, 134 P. 3d 378 (Ariz. 2006), cert. denied, Berger v. Arizona, 127 S.Ct. 1370 (U.S. 2007) (distinguishing Davis and upholding mandatory consecutive terms totaling two hundred years without release for first-offense possession (downloading) of child pornography). 537 P. 2d 384, 394 (1975) (invalidating a life sentence given to a child molester after the defendant had served twenty-two years in prison without release). 626 N.E. 2d 803, 806 (Ind. 1993). Defendant was charged under a law, Ind. Code § 35-48-4-4.6, which provided a sentence of up to eight years for the sale of any simulated controlled substance, regardless of the drug being simulated. 429 S.W. 2d 374, 378 (Ky. 1968) (aim of life-without-parole sentence is to incapacitate incorrigible offenders; no court could reasonably ﬁnd that a fourteen-yearold offender will remain incorrigible for the rest of his life). 739 So. 2d 301 (La. Ct. App. 1999). Idem at 303, 304. Idem at 303. However, a sentence of thirty years’ hard labor without parole, imposed on remand, was upheld on appeal. State v. Hayes, 845 So. 2d 542 (La. Ct. App. 2003). 485 N.W. 2d 866, 872, 876 (Mich. 1992). But see People v. Fluker, 498 N.W. 2d 431 (Mich. 1993) (Bullock applies to possession, not drug delivery). See also People v. Lorentzen, 194 N.W. 2d 827, 831–34 (Mich. 1972) (invalidating mandatory twentyyear minimum sentence). People v. Sharpe, 839 N.E. 2d 492, 500 (Ill. 2005). People v. Miller, 781 N.E. 2d 300, 307–309 (Ill. 2002). People v. Lewis, 677 N.E. 2d 830, 831–33 (Ill. 1996) (invalidating the penalty for armed violence that was greater than that for identical offense of armed robbery). See, e.g., Miller, 781 N.E. 2d at 307 (invalidating the life-without-parole sentence given to a ﬁfteen-year-old who became a murder accomplice just before the shooting, noting that “this case presents the least culpable offender imaginable”). The other two clauses of the ﬁrst test appear to prohibit severe punishments based on “original meaning” and desuetude. See, e.g., People v. Davis, 687 N.E. 2d 24, 28–29 (Ill. 1997) (invalidating the penalty for failure to have a ﬁrearm owner’s card that was greater than the penalty for unlawful use of a weapon by a felon). 839 N.E. 2d 492 (Ill. 2005). Sharpe also rejected a defense argument that the penalty enhancements at issue violated another part of Article I, Section 11 (following the proportionate-penalties clause), which required that penalties also be determined “with the objective of restoring the offender to useful citizenship”; the court cited

Notes to Pages 159–161

129. 130. 131.

132.

133.

134.

135.

136.

247

an earlier case that held that the possibility of rehabilitation is not to be given more weight than the seriousness of the offense (idem at 519). 660 N.E. 2d 832, 847 (Ill. 1995). Sharpe, 839 N.E. 2d at 517–18 (discussing People v. Bradley, 403 N.E. 2d 1029 (1980)). 446 N.E. 2d 512 (Ill. 1983). The Sharpe opinion repeatedly objected to Wisslead’s “cf.” citation of prior due process cases, but those cases were clearly relevant since they involved comparisons to other crimes and were based on similar proportionality concerns. In a line of cases beginning in the 1950s, Oregon appellate courts have found a violation of that state’s proportionate-penalties clause where a lesser included offense receives more severe punishment than the greater offense. See, e.g., Cannon v. Gladden, 281 P. 2d 233 (Or. 1955) (assault with intent to rape punishable with life; maximum for rape was twenty years). See, e.g., Ewing v. California, 538 U.S. 11, 31–32 (2003) (concurring opinions of Justices Scalia and Thomas); Allyn G. Heald, United States v. Gonzalez: In Search of a Meaningful Proportionality Principle, 58 Brook. L. Rev. 455 n.2 (1992); Nancy J. King, Portioning Punishment: Constitutional Limits on Successive and Excessive Penalties, 144 U. Pa. L. Rev. 101, 192 (1995); Stephen T. Parr, Symmetric Proportionality: A New Perspective on the Cruel and Unusual Punishment Clause, 68 Tenn. L. Rev. 41, 62 (2000). See, e.g., Gibbs, supra note 13, at 976 (principle akin to means proportionality); Gilchrist, supra note 11, at 1121–24, 1145–46 (same); Grossman, supra note 30, at 168–69 n.386 (same); Radin, supra note 10, at 1047–53 (utilitarian, “net social gain” principles); Richard G. Singer, Sending Men to Prison: Constitutional Aspects of the Burden of Proof and the Doctrine of the Least Drastic Alternative as Applied to Sentencing Determinations, 58 Cornell L. Rev. 51, 55, 72–89 (1972); Malcolm E. Wheeler, Toward a Theory of Limited Punishment: An Examination of the Eighth Amendment, 24 Stan. L. Rev. 838, 847–73 (1972) (noting Bentham’s utilitarian proportionality principles, discussed in this chapter); Zimring et al., supra note 70, at 190 (principles akin to means and ends proportionality). See, e.g., Joshua Dressler, Understanding Criminal Law 16 (4th ed. 2006); Joel Feinberg, Doing & Deserving: Essays in the Theory of Responsibility (Princeton Univ. Press 1970); Michael S. Moore, Placing Blame: A General Theory of the Criminal Law (Oxford Univ. Press 1997); Paul H. Robinson & John M. Darley, Justice, Liability and Blame: Community Views and the Criminal Law (Westview 1995); Andrew von Hirsch, Censure and Sanctions (Oxford Univ. Press 1993). Compare Andrew von Hirsch, Past or Future Crimes: Deservedness and Dangerousness in the Sentencing of Criminals 88–91 (Rutgers Univ. Press 1985) (arguing that repeat offenders deserve somewhat greater punishment), with George P. Fletcher, Rethinking Criminal Law 460–66 (Little, Brown 1978) (questioning whether prior record increases an offender’s culpability to any

248

Notes to Pages 161–163

137. 138. 139. 140.

141.

142. 143.

144. 145. 146. 147.

degree). See generally Julian V. Roberts, The Role of Criminal Record in the Sentencing Process, 22 Crime and Justice: A Review of Research 303, 317–19 (Michael Tonry ed., Univ. Chicago Press 1997). Some sentencing reforms, while supposedly based on a retributive model, provide substantially increased recommended sentences for offenders with extensive prior records. See Richard S. Frase, State Sentencing Guidelines: Diversity, Consensus, and Unresolved Policy Issues, 105 Colum. L. Rev. 1190, 1201 n.55 (2005) (hereinafter Sentencing Guidelines) (Minnesota and Kansas sentencing guidelines both adopt a just deserts model, yet recommended sentence durations are two to three times longer for offenders with the highest criminal history scores than for ﬁrst offenders). Norval Morris, Madness and the Criminal Law 182–87 (1982). See generally Andrew von Hirsch, Censure and Sanctions (1993). The retributive limits on criminal liability (“who may be punished”), recognized in U.S. constitutional and subconstitutional law, are discussed in chapter 6. Morris’s theory is described and evaluated in Richard S. Frase, Limiting Retributivism, in The Future of Imprisonment (Michael Tonry ed., Oxford Univ. Press 2004) (hereinafter Limiting Retributivism). See also Grossman, supra note 30, at 168–72 (arguing that Eighth Amendment proportionality should be construed in accordance with Morris’s theory); Youngjae Lee, The Constitutional Right Against Excessive Punishment, 91 Va. L. Rev. 677 (2005) (proposing Eighth Amendment retributive limits). Morris’s limiting retributive theory has been adopted as the theoretical framework for the revised Model Penal Code sentencing provisions. See Model Penal Code § 1.02(2)(a) cmt. b (tentative draft 2007). K.G. Armstrong, The Retributivist Hits Back, in The Philosophy of Punishment 138, 155 (H.B. Acton ed., Macmillan 1969); see also H.L.A. Hart, Punishment and Responsibility: Essays in the Philosophy of Law 237 (Oxford Univ. Press 1968) (“many self-styled retributivists treat appropriateness to the crime as setting a maximum within which penalties [are chosen on crime-control grounds]” (emphasis in original) ). See generally, Limiting Retributivism, supra note 140, at 92–94 (numerous authors and model codes emphasize strict desert limits on maximum severity, with looser requirements of minimum severity). See generally Dressler, supra note 135, at 14–16; Richard S. Frase, Punishment Purposes, 58 Stan. L. Rev. 67, 67–83 (2005). Kent Greenawalt, Punishment, in 3 Encyclopedia of Crime and Justice, 1282, 1286–88 (2d ed., Joshua Dressler ed., 2001). See generally, Paul H. Robinson & John M. Darley, The Utility of Desert, 91 Nw. U. L. Rev. 453 (1997) (hereinafter Desert). Cesare Beccaria, An Essay on Crimes and Punishments, chs. 23, 24 (1793). Jeremy Bentham, Bentham’s Theory of Legislation, ch. II (Oxford Univ. Press, 1914). Idem, ch. I. See also H.L.A. Hart, supra note 141, at 173 n.20. Bentham, supra note 145, ch. II. See also Beccaria, supra note 144, ch. 23 (“If an equal punishment be ordained for two crimes that do not equally injure society,

Notes to Pages 163–167

148. 149. 150. 151. 152. 153.

154.

155.

156.

157. 158.

249

men will not be any more deterred from committing the greater crime, if they ﬁnd a greater advantage associated with it.”); von Hirsch et al., supra note 67, at 41–43 (discussing the marginal deterrent beneﬁts of penalties proportioned to harms associated with different crimes). Wheeler, supra note 134, at 851–52. Radin, supra note 10, at 1055–56. H.L.A. Hart, supra note 141, at 25. See generally, Desert, supra note 143, at 453; Model Penal Code, Reporter’s Note, at 43. Norval Morris, The Future of Imprisonment 59–60, 75, 78 (Univ. Chicago Press 1974) (hereinafter Morris, Future). Beccaria, supra note 144, ch. 42. Bentham, supra note 145, ch. I. Similar means-proportionality principles were endorsed in the French Declaration of the Rights of Man (1789). Article 8 of the declaration limited punishments to those that are “strictly and evidently necessary.” Article 9 speciﬁed that, to protect the presumption of innocence, “if it should be considered necessary to arrest [a suspect], any undue harshness that is not required to secure his person must be severely curbed by Law.” See, e.g., Morris, Future, supra note 151; Radin, supra note 10, at 1043–56; Singer, supra note 134, at 55, 72–89; Michael Tonry, Interchangeability, Desert Limits, and Equivalence of Function, in Principled Sentencing: Readings on Theory & Policy (2d ed., Andrew von Hirsch & Andrew Ashworth eds., 1998); Zimring et al., supra note 70, at 190. The Model Penal Code and all three editions of the American Bar Association’s sentencing standards explicitly or implicitly recognize the principle of parsimony. Limiting Retributivism, supra note 140, at 94–95. The principle is also endorsed in the proposed revisions of the Model Penal Code’s sentencing provisions. Model Penal Code § 1.02(2)(a)(iii) cmt. f. Cf. Roy G. Spece Jr., Justifying Invigorated Scrutiny and the Least Restrictive Alternative as a Superior Form of Intermediate Review: Civil Commitment and the Right to Treatment as a Case Study, 21 Ariz. L. Rev. 1049, 1054–56 (1979) (noting the difference between requiring choice of the “least” versus a “signiﬁcantly less” burdensome alternative). Kevin R. Reitz, The Disassembly and Reassembly of U.S. Sentencing Practices, in Sentencing and Sanctions in Western Countries 222–58 (Michael Tonry & Richard S. Frase eds., Oxford Univ. Press 2001) (hereinafter Reitz, Disassembly). See generally, Sentencing Guidelines, supra note 136; Reitz, Disassembly, supra note 156. Sentencing Guidelines, supra note 136, at 1211; Paul J. Hofer & Mark H. Allenbaugh, The Reason Behind the Rules: Finding and Using the Philosophy of the Federal Sentencing Guidelines, 40 Am. Crim. L. Rev. 19, 24 (2003). See also Model Penal Code, Reporter’s Note, at 27–30, 187–88 (citing examples of state laws that incorporate explicit proportionality limits); idem at 35–36 (examples of implicit parsimony principles in state sentencing laws).

250

Notes to Pages 167–173

159. Richard S. Frase, Sentencing Principles in Theory and Practice, in 22 Crime and Justice: A Review of Research, supra note 136, at 363–433 (hereinafter Sentencing Principles). 160. See, e.g., Roper v. Simmons, 543 U.S. 551, 575–78 (2005) (juvenile death penalty); Lawrence v. Texas, 123 S.Ct. 2472, 2481 (2003) (private consensual homosexual conduct); Atkins v. Virginia, 536 U.S. 304, 316 n.21 (2002) (death penalty imposed on an offender with mental retardation); Thompson v. Oklahoma, 487 U.S. 815, 830–31 (1988) (juvenile death penalty). 161. Comparative Perspectives, supra note 65, at 277–79. Proportionality and parsimony principles are given particularly great weight in Australia and Minnesota. See Arie Freiberg, Three Strikes and You’re Out: It’s Not Cricket: Colonisation and Resistance in Australian Sentencing, in Sentencing and Sanctions in Western Countries, supra note 156, at 38–39; Sentencing Principles, supra note 159. 162. Rome Statute of the International Criminal Court, U.N. Doc. A/CONF. 183/9 arts. 78(1), 81(2)(a) (July 17, 1998). National courts and the European Court of Human Rights have barred extradition of offenders when the punishment they would receive in the demanding state would be disproportionate. See Nora V. Demleitner et al., Sentencing Law and Policy: Cases, Statutes, and Guidelines, Second Edition 577–78 (2007). 163. Smith v. the Queen, [1987] 40 D.L.R. (4th) 435. 164. Idem at 477, 481. 165. Idem at 482–83. The court also stated in dicta that “there must be a proportionality between the effects of the measures which are responsible for limiting the Charter right or freedom, and the objective which has been identiﬁed as of ‘sufﬁcient importance’ [to overcome the charter right or freedom]” (idem at 483). 166. Idem at 483. 167. See Disproportionate Sentences, supra note 65, at 550–52. This means-proportionality requirement also provides a strong argument against any sentence of life without possibility of parole.

conclusion 1. Kathleen M. Sullivan, The Justices of Rules and Standards, 106 Harv. L. Rev. 22, 57–68 (1992). 2. The Federalist No. 83 (Alexander Hamilton). 3. See supra notes 189–90 of chapter 1 and the accompanying text.

SUBJECT INDEX

ability-to-pay, 152 abortion, 55–56 abuse of discretion, 166 addiction. See status crimes Additional Protocols, 21–24, 184n95, 184n97, 184–85n103 admiralty cases, 38, 45–46 admissibility, 234n49 afﬁrmative action, 54–56, 205n18, 205n23, 227n221 afﬁrmative defenses, 115–16, 124–25, 127, 238n44 Agins v. City of Tiburon, 76, 80, 216n76, 217n101 alcoholism, 118, 236n14, 241n38, 245n113 Alito, Samuel, 133, 146 Allenbaugh, Mark H., 249n158 alternative-means proportionality. See also proportionality principles constitutional review standards, 54 death penalty, 132–33 deﬁnition, 7 excessive bail, 105 exclusionary rules, 111 foreign legal regimes, 26 judicial review, 3, 170 land-use permit conditions, 74 law of war, 14 necessity principle, 124 pretrial defendants’ rights, 103–5

251

prison terms, 135 proof beyond reasonable doubt, 119 punishment, 172 punitive damages, 68 reasonableness balancing, 98 sentencing theory, 162 shackles, 107 utilitarian principles, 7 Workman v. Commonwealth, 156, 246n118 Amar, Akhil Reed, 231n4 American Bar Association, 249n154 American Law Institute, 122–24 Americans with Disabilities Act (ADA), 85, 225–26n198 Amsterdam, Anthony G., 231n4 Anderson-Bey v. District of Columbia, 148 antidiscrimination protection, 65 Antiterrorism and Effective Death Penalty Act of 1996, 141 antitrust injury, 10, 14 antitrust law commercial speech doctrine, 60 damages, 201n100 proportionality principles, 47–49, 169 punitive damages, 47–49 reasonableness, 49 restraint of trade, 201–2n102, 202n103 suitability, 47 treble damages, 201n93

252

Subject Index

Aquinas, Thomas, 4, 13, 15–17 Arabian, Armand, 220n142 Arai-Takahashi, Yutaka, 194n276 Arkansas, 105–6 Armstrong, K.G., 162, 248n141 Ashworth, Andrew, 249n154 athletics, 228–29n32 attenuation doctrine, 110 attorney’s fees awards billable hours, 222n161, 222n162, 223–24n181 City of Riverside v. Rivera, 81–83, 224n187 civil rights cases, 80–83, 221n155, 222–23n175 compensatory damages, 81–82, 223n176 Farrar v. Hobby, 82–83 Hensley v. Eckerhart, 81–82, 222n162 proportionality principles, 67 punitive damages, 80–83, 221n156 reasonableness, 81–83 test for, 222n165 Atwater v. City of Lago Vista, 98–99, 230n1, 231n6 Austin v. United States, 150 bail. See excessive bail Baze v. Rees, 133, 240n21, 243n75 Beccaria, Cesare, 163–64, 248–49n147 Bentham, Jeremy, 110, 163–64, 248–49n147, 249n153 Bethlehem Steel. See United States v. Bethlehem Steel Co. billable hours, 222n161, 222n162, 223–24n181 Blackmun, Harry, 138, 228n226 blameworthiness criminal liability, 248n139 fair notice, 117 Illinois sentencing standards, 158 justiﬁcation defenses, 125 limiting retributive proportionality, 6 prior convictions, 161, 247–48n136 and punishment, 121 retributive proportionality, 6 rule of lenity, 122 sentencing theory, 161–62 United States v. Bajakajian, 151 voluntary act, 124

BMW v. Gore Breyer concurrence, 213n41, 215n66 due process, 73 excessiveness, 214n62 potential harm, 72, 214–15n65 proportionality principles, 74 punitive damages, 68–69, 211n10, 211n14, 212n24, 213n41, 215n68 reasonableness, 214n56 reprehensibility, 215–16n71 retribution, 73 Board of Trustees v. Garrett, 85 Boerne test, 84 Bouie v. City of Columbia, 116, 236n2 breach of contract, 39, 144, 195n15 Breyer, Stephen BMW v. Gore, 213n41, 215n66 Ewing v. California, 140, 242n56, 242n57 intermediate scrutiny, 58, 206n51 Lockyer v. Andrade, 141 Britain, 19–20 Brooks v. Tennessee, 106–7 Brown v. Board of Education, 86 Brown v. Illinois, 110 Browning-Ferris Industries of Vermont, Inc. v. Kelco Disposal, Inc., 68–69, 150, 244n93, 244n95 Brunswick Corp. v. Pueblo Bowl-O-Mat, Inc., 47 building permits, 203n6 burden-of-proof, 171 Bush, George W., 24 busing, 227n217 California. See also Ewing v. California City of Monterey, 79 City of Riverside v. Rivera, 81–83, 223–24n181 excessive punishment, 155 Grifﬁn v. California, 106–7 Lambert v. California, 116–17 Nollan case, 74–77, 220n142 Pasadena Board of Education v. Spangler, 87, 228n226 possessory exactions, 79 Robinson v. California, 117–19, 131, 236n15 three-strikes law, 139, 242n67, 242–43n70

Subject Index Canada, 26–28, 167, 168, 189–90n168, 242n69, 250n165 Cannabis Case, 29–30 capital punishment. See death penalty capped proportionate share, 200n88 Caroline incident, 19–20, 182–83n66 Central Hudson Gas & Elec. Corp. v. Pub. Serv. Comm’n of N.Y., 60–61, 208n81, 208n85 Chavez v. Martínez, 111, 212n37 chemical dependency. See drug offenses Chevron decision, 79–80, 217n83 child pornography, 123–24, 245–46n115 Cicero, 4, 13, 15–16, 20 City of Boerne v. Flores, 83–84, 178n23, 203n7, 225n196 City of Cleburne v. Cleburne Living Center, Inc., 64, 204n2, 220–21n150, 225–26n198 property rights, 220–21n150 City of Monterey v. Del Monte Dunes at Monterey, Ltd., 79 City of Riverside v. Rivera, 81–83, 223–24n181, 224n187 civil liberties, 7 civil rights cases, 80–83, 170, 221n155, 222–23n175 civil-criminal divide, 109–10, 233n38, 234n48 civilian population, 22, 24, 184n95, 184n97, 184–85n103, 185n104 class action suits, 46, 71, 200n88, 213n49, 222–23n175 Clayton Act, 48 Coker v. Georgia, 131–33, 239n8 Colb, Sherry F., 231n4 Colby, Thomas B., 211n4 collateral damage, 23–24, 186–87n116 Colorado, 152 commerce clause, 209n15 commercial speech doctrine, 60–61, 208n81, 208n85 Committee Established to Review the NATO Bombing Campaign against the Federal Republic of Yugoslavia, 23 common law contract law, 49 criminal liability, 115, 123, 237n23 fair notice, 236n2 hard labor, 131

negligence, 44 offense-offender seriousness, 101 penalties and contract law, 41, 44 petty offense, 114 proportionality principles, 8, 10, 14, 172 proportionate penalty clause, 157 punitive damages, 68–69 reasonableness, 37–38 rule of lenity, 121–22 Commonwealth v. Heggenstaller, 152 compelling state interest, 166 compensatory damages attorney’s fees awards, 81–82 contract law, 38 deﬁnition, 68 penalties and contract law, 41 proportionality principles, 10, 14, 44–45, 49 vs. punitive damages, 73, 81, 214n56, 215–16n71 reasonableness, 82 strict scrutiny, 238–39n1 in tort cases, 44–46 Congress Board of Trustees v. Garrett, 85 Eleventh Amendment, 224n192 Fourteenth Amendment, 83–85, 224n189, 225n196 prophylactic legislation, 226n199, 226n200 proportionate fault rule, 46 state government, 225–26n198 United States v. Morrison, 84–85 congruence and proportionality, 5, 170, 178n23, 193n262, 227n207 Conner v. State, 155, 246n117 Constitutional Court of Poland, 32–33 Constitutional Court of Ukraine, 33 construction disputes, 43, 196n28, 199n60 consumer protection, 63, 209n112 content-neutral speech, 58–60, 203n10, 206–7n53 contract law Bethlehem Steel Co., 42 and common law, 49 disproportion, 44 liquidated damages, 197n35, 198n42 reasonableness, 38 right of private contract, 198n41

253

254

Subject Index

contributory fault, 38 Convention for the Amelioration of the Condition of the Wounded and Sick in Armies in the Field, 181n52, 183n72 cost-beneﬁt analysis, 8, 29–30, 48, 110, 112, 162 countermeasures, 188n142 Cox v. Louisiana, 116 crime control, 143, 145, 161, 163, 165–67, 248n141 criminal justice, 91–93 criminal law, 4–5, 7, 115–16, 120–21 criminal liability afﬁrmative defenses, 115–16, 124–25, 127 blameworthiness, 248n139 Bouie v. City of Columbia, 116, 236n2 classiﬁcation of, 126 cognitive requirements, 120 common law, 115, 123, 237n23 culpability, 127 due process, 116 Eighth Amendment, 236n15 ends-beneﬁts proportionality, 120 equal protection, 235–36n1 excuse defenses, 115–16 fair notice, 5, 116–17, 120, 123, 170 fairness, 128 First Amendment cases, 235–36n1 homelessness, 118, 236n14 implicit proportionality principles, 92 individual rights, 128 intermediate scrutiny, 5 involuntary intoxication, 118 judicial review, 235–36n1 justiﬁcation defenses, 124–25 limiting retributive proportionality, 127–28, 143–44 means-proportionality principles, 120 narrow-tailoring, 118 negligence, 127 overbreadth doctrine, 123 penalties for, 126 plea bargains, 126 proof beyond reasonable doubt, 120, 127 proportionality principles, 10, 115 punishment, 120, 126 punitive damages, 73–74 reasonable mistakes, 238n48

retributive proportionality, 126, 143–44, 248n139 rule of lenity, 127 self-defense, 115 status crimes, 117–20, 236n17 strict liability, 122–24 strict scrutiny, 118 subconstitutional review, 115–16, 120–28 utilitarian principles, 127 vagueness, 237n23 volitional requirements, 120 voluntary act, 115, 124, 127, 238n41 willfulness, 123 criminal negligence, 122–23 criminal procedure rights excessive punishment, 155 exclusionary rules, 97, 110–13 Fourth Amendment, 155 offense-offender seriousness, 113–14 police checkpoints, 245n114 proportionality principles, 91–92, 95–97, 111 punishment, 96 criminal punishment, 5, 92–93, 178n22 cross-comparison test, 158–60, 246–47n128, 247n132 cruel-and-unusual punishment. See also punishment Canadian Charter of Rights and Freedoms, 168 criminal justice, 93 death penalty, 239n10 excessive punishment, 153 Harmelin v. Michigan, 156, 241n48 In re Rodriguez, 155, 246n116 prison terms, 137–38 proportionate penalty clause, 159 state government limits, 154 status crimes, 117 culpability criminal liability, 127–28 death penalty, 131 drug offenses, 138 fairness, 170 Harmelin v. Michigan, 156 Illinois sentencing standards, 158 In re Rodriguez, 155 juvenile justice, 246n126 prior convictions, 247–48n136

Subject Index punishment, 172 retributive proportionality, 144–45 sentencing theory, 161, 163, 167, 246n126 State v. Hayes, 156 status crimes, 117 strict liability, 122, 124 United States v. Bajakajian, 151 Czechoslovakia, 188n142 damages. See also liquidated damages antitrust law, 47–49, 201n100 attorney’s fees awards, 82, 223n176 City of Riverside v. Rivera, 223–24n181 civil rights cases, 81–82 foreseeable losses, 38–40 judicial review, 238–39n1 proportionality principles, 37–38, 169 retributive proportionality, 6 State Farm v. Campbell, 215n66, 215n67 stipulated, 43 subconstitutional review, 238–39n1 treble damages, 47–49 Davies, Thomas Y., 231n12 Davis, Roger, 144 de novo review, 238–39n1 deadly force, 101–2, 231n13 death penalty alternative-means proportionality, 132–33 deterrence, 138 Eighth Amendment, 93, 129–30, 234n21 eligibility for, 131–33 ends-beneﬁts proportionality, 132–33, 164–65 European standards, 239n12 execution methods, 133 Gregg v. Georgia, 147, 240n14 intermediate scrutiny, 5 judicial review, 131–32 juvenile justice, 132, 239n10 lethal injection, 133, 243n75 vs. life in prison, 132–33, 164–65, 239–40n13 limiting retributive proportionality, 133, 143 means-proportionality principles, 132–33 mental retardation, 132, 239n10, 240n15, 250n160

murder, 239n10 People v. McDonald, 159 prisoners’ rights, 243n75 and rape, 239n8, 239n10 Roper v. Simmons, 132, 178n22, 240n14, 240n15, 250n160 Rummel v. Estelle, 137 torture, 240n19 United States v. Jackson, 102, 105–6 Deck v. Missouri, 107 defendants’ rights, 5, 30, 96, 105–7, 178n15 deﬁning retributivism, 161 Delaney, John J., 216n81 Delaney v. DeTella, 148 Demleitner, Nora V., 250n162 desegregation, 85–87, 227n215, 227n216, 228n226 deterrence attorney’s fees awards, 80 death penalty, 131–32, 239–40n13 forfeitures, 151 prison terms, 138–39, 145–46, 242n67 punitive damages, 69, 73–74, 213n54 sentencing theory, 162–63, 248–49n147 diffuse harms, 71–72 diminished capacity, 161, 163 direct purchaser rule, 47–49 discrimination, 85, 214n64, 223–24n181, 225–26n198, 228–29n32 disproportion, 42–44, 68, 198–99n45 disproportionality Atwater v. City of Lago Vista, 98 civil-criminal divide, 110 criminal justice, 92 criminal procedure rights, 96 exclusionary rules, 110, 113 false claims, 234n44 liquidated damages, 196–97n34 misdemeanors, 97 prison terms, 144 sentencing law, 167 sentencing theory, 162 diversity, 55, 205n23 divestment of citizenship, 131 divided damages, 45, 200n79 Dolan v. City of Tigard eminent domain, 219n116 essential nexus, 74–80 heightened scrutiny, 220n142

255

256

Subject Index

Dolan v. City of Tigard (continued) land-use permit conditions, 78–79, 216n76, 219n120 possessory exactions, 79, 220n133 rational basis review, 218n109 rough proportionality, 74–80, 217–18n107, 218n108, 219n115, 219n132 takings clause, 217n102, 218n108 zoning ordinances, 78–79, 219n132 dormant commerce clause, 55, 57–58, 61, 83, 203n10 double jeopardy, 109 Dressler, Joshua, 231n12, 238n44 drug offenses, 240n30. See also status crimes Conner v. State, 155 excessive ﬁnes clause, 245n104 forfeitures, 150, 244n101 Harmelin v. Michigan, 137–40, 145–46, 156, 241n47 Hutto v. Davis, 135, 144 life in prison, 241n47 Lockyer v. Andrade, 141 marijuana, 135, 204n1, 209n15 People v. Antolovich, 152 prison terms, 144 Smith v. the Queen, 167–68, 242n69 drunk driving, 100–102, 136, 231n11 due process BMW v. Gore, 73 Bouie v. City of Columbia, 236n2 civil-criminal divide, 109 constitutional review standards, 53 criminal justice, 92 criminal liability, 116 equal protection, 85 Fourteenth Amendment, 10 judicial review, 10 Lambert v. California, 116–17 Lawrence v. Texas, 65–66, 176–77n8 People v. McDonald, 159 People v. Sharpe, 247n131 People v. Wisslead, 247n131 possessory exactions, 217n83 proof beyond reasonable doubt, 119 proportionality principles, 172 punitive damages, 68–69, 212n28 rough proportionality, 217–18n107 rule of lenity, 237n23

strict scrutiny, 54–56 substantially advances test, 80 treatment of prisoners, 243n71 Duncan v. Louisiana, 114, 235n67 duress, 125, 127 easement, 75, 77–78 Eastern Europe, 32–33 economic policy, 219n118 Edmonds v. Compagnie Générale Transatlantique, 46 Edwards, Benjamin R., 196n28, 198n42 Eighth Amendment Conner v. State, 155 criminal justice, 93 criminal liability, 236n15 cruel-and-unusual punishment, 153 death penalty, 129–33, 234n21, 243n75 due process, 116 evolving standards, 131 Ewing v. California, 178n22, 242n56 excessive bail, 91, 96, 103, 140, 232n20 excessive ﬁnes clause, 68–69, 149–50 excessiveness, 136 execution methods, 133, 240n19 forfeitures, 129–30, 150 Lockyer v. Andrade, 140–41 prior convictions, 242n56 prison terms, 129–30, 134 proportionate penalty clause, 159 punitive damages, 140 Rummel v. Estelle, 134–35 sanction severity, 130 sentencing theory, 161, 165–66, 245– 46n115, 248n140 Solem v. Helm, 178n22 treatment of prisoners, 129–30, 146–49, 243n71 utilitarian principles, 143 election districts, 229n242 Eleventh Amendment, 83–85, 224n192, 227n207 eminent domain, 75, 78, 219n116 ends-beneﬁts proportionality afﬁrmative defenses, 124 attorney’s fees awards, 82–83 commercial speech doctrine, 60–61 constitutional review standards, 53–54 cost-beneﬁt analysis, 8

Subject Index criminal justice, 91–92 criminal liability, 120 deadly force, 101 death penalty, 132–33, 164–65 defendants’ rights, 96 deﬁnition, 7 European judicial review, 62 excessive bail, 105 excessive punishment, 153, 156, 158 exclusionary rules, 111, 112 forced medication, 108 foreign legal regimes, 26 forfeitures, 151 Israeli Supreme Court, 7 judicial review, 3, 170 just war theory, 17 land-use permit conditions, 74 law of war, 14 Miranda rule, 235n66 misdemeanors, 97 negligence, 44 nonretributive punishment, 4 pretrial defendants’ rights, 103–5 prison terms, 142, 144 proof beyond reasonable doubt, 119 punishment, 129, 172 punitive damages, 68, 72 reasonableness, 37 reasonableness balancing, 98 rule of lenity, 121–22 self-defense, 92, 115–16 self-incrimination, 106 sentencing theory, 163–65 strict liability, 122–23 strict scrutiny, 55 subconstitutional review, 126–28 treatment of prisoners, 149 treble damages, 48–49 utilitarian principles, 7 warrants, 101 England, indeterminate sentencing systems, 168 English Bill of Rights, 149 entrapment, 125 environmental damage, 23, 185n104, 186–87n116 epilepsy, 124 Epstein, Richard A., 198n41 Equal Pay Act (EPA), 225–26n198

equal protection afﬁrmative action, 205n18 constitutional review standards, 53, 204n1 criminal liability, 235–36n1 judicial review, 10 strict scrutiny, 54 voting rights, 85–90 essential nexus, 74–75, 78, 217–18n107 Estelle v. Gamble, 147 European Convention for Human Rights, 194n276 European Court of Human Rights, 250n162 European Court of Justice, 34–35, 192– 93n245, 219n118 European Union congruence and proportionality, 193n262 death penalty, 239n12 just war theory, 10 necessity, 62 proportionality principles, 14, 33–35, 194n276 suitability, 47, 59, 62 welfare state, 4 euthanasia, 155 evidence-tampering, 232–33n24 evolving standards, 131, 172 Evra Corp. v. Swiss Bank Corp., 38–39 Ewing v. California deterrence, 242n67 Eighth Amendment, 178n22, 242n56 gross disproportionality, 139–40, 159 Harmelin v. Michigan, 139, 142 prison terms, 138–39, 144–45, 157, 242n57 recidivism, 140, 142 Solem v. Helm, 139, 242n56 three-factor test, 141–42 ex post facto statutes, 109, 116, 237n23 excessive bail alternative-means proportionality, 105 Eighth Amendment, 91, 96, 103, 140, 232n20 judicial review, 104 limits on, 232n23, 232–33n24, 233n26 misdemeanors, 104, 232n23 pretrial defendants’ rights, 96, 103 excessive damages, 238–39n1

257

258

Subject Index

excessive ﬁnes clause Browning-Ferris Industries of Vermont, Inc. v. Kelco Disposal, Inc., 68–69, 244n93 civil-criminal divide, 233n38 Commonwealth v. Heggenstaller, 152 criminal justice, 93 drug offenses, 245n104 Eighth Amendment, 68–69, 149–50 forfeitures, 151, 203n9, 244n101, 244–45n102, 245n109 gross disproportionality, 151–53 implicit proportionality principles, 152 limiting retributive proportionality, 150, 152–53 People v. Antolovich, 152 People v. Malone, 152 punitive damages, 72 Solem v. Helm, 151–52, 245n104 state government, 151–52 United States v. Bajakajian, 150–52 wage levy, 245n103 excessive force, 148–49, 244n91 excessive punishment cross-comparison test, 158–59 ends-beneﬁts proportionality, 153, 156, 158 ﬁnes, 154 gun rights, 246n127 identical elements test, 157, 159 implicit proportionality principles, 156 In re Rodriguez, 155, 246n116 limiting retributive proportionality, 153, 155, 158, 162 means-proportionality principles, 153, 156, 158 prison terms, 153 proportionality principles, 245n111 proportionate penalty clause, 154 sentencing theory, 164–65 Solem v. Helm, 153, 155, 157, 159 state government, 129, 153–60 statutory rape, 245–46n115 three-strikes law, 242–43n70 Workman v. Commonwealth, 156, 246n118 excessiveness civil-criminal divide, 109 Constitutional Court of Poland, 32–33 Eighth Amendment, 136 false claims, 234n44

forfeitures, 151 prison terms, 142, 144 proportionality principles, 3, 7, 169–70, 245n11 punitive damages, 69, 214n62 sentencing law, 160 State Farm v. Campbell, 214n62 treatment of prisoners, 147–49 utilitarian principles, 6 exclusionary rules admissibility, 234n49 alternative-means proportionality, 111 cost-beneﬁt analysis, 110, 112 criminal procedure rights, 97, 110–13 ends-beneﬁts proportionality, 111 grand jury, 234n52 habeas corpus, 234n52 means-proportionality principles, 112 police powers, 110, 234n54 self-incrimination, 235n61 subconstitutional review, 111 warrants, 110–13 excuse defenses, 92, 115–16, 125, 127, 238n48, 238n51 execution methods, 133, 240n19 executive branch criminal liability, 128 excessive punishment, 153, 165 judicial review, 8, 11, 170 property rights, 80 explicit proportionality principles, 91–93, 129, 170, 172–73, 249n158 extradition, 250n162 Fair Housing Act, 214n64 fair notice blameworthiness, 117 Bouie v. City of Columbia, 236n2 criminal liability, 5, 116–17, 120, 123, 170 limiting retributive proportionality, 92, 117, 121 punishment, 115, 117 rule of lenity, 121–22 sentencing theory, 166 utilitarian principles, 117 void for vagueness, 116 fair warning, 237n23 fairness criminal liability, 128

Subject Index culpability, 170 excuse defenses, 238n51 fair notice, 117 liability, 45–46 prison terms, 143 punitive damages, 69 false claims, 234n44 Farrar v. Hobby, 82–83, 224n187, 226n200 Federal Communications Commission v. Beach Communications, Inc., 62 Federal Constitutional Court, 28–29 federal government, 8 federalism individual autonomy and, 83, 209n15 intermediate scrutiny, 5 prison terms, 137 proportionality principles, 9 punitive damages, 212n30 states’ rights, 225n197 felony, 137, 140–41 Fifth Amendment, 97, 111, 114, 220–21n150 ﬁnes, 143, 149, 154, 244n93. See also excessive ﬁnes clause First Amendment cases, 55, 58–61, 208n81, 235–36n1 First International Peace Conference, 19 Fletcher, George P., 247–48n136 Florida Prepaid Postsecondary Education Expense Board v. College Savings Bank, 84 Food Stamp Act of 1964, 64 forced medication, 92, 96, 107–9, 233n38 foreign legal regimes, 26–35, 62, 129, 167–68. See also individual nations foreseeable losses, 38–40, 49, 195n15, 195n17, 196n22 forfeitures Austin v. United States, 150 Browning-Ferris Industries of Vermont, Inc. v. Kelco Disposal, Inc., 150 civil-criminal divide, 233n38 drug offenses, 244n101 Eighth Amendment, 129–30, 150 excessive ﬁnes clause, 151, 203n9, 244n101, 244–45n102, 245n109 gross disproportionality, 170 intermediate scrutiny, 5 limiting retributive proportionality, 120, 143

means-proportionality principles, 151 property rights, 150 proportionality principles, 129–31 punishment, 150–51 punitive damages, 216n76 retributive proportionality, 93 United States v. Alexander, 150 formal legality, 4, 176n2 Fourteenth Amendment Americans with Disabilities Act (ADA), 85 City of Boerne v. Flores, 203n7, 225n196 commercial speech doctrine, 60–61 Congressional powers, 83–85, 224n189 congruence and proportionality, 5, 170 judicial review, 10 proportionality principles, 5, 67 punitive damages, 68 rough proportionality, 52 Fourth Amendment criminal procedure rights, 97, 155 deadly force, 231n13, 238n46 ends-beneﬁts proportionality, 97 excessive force, 148–49 in-presence rule, 231n12 means-proportionality principles, 97 Miranda rule, 110 police checkpoints, 245n114 proportionality principles, 91–92 reasonableness balancing, 98, 198, 231n4 Roper v. Simmons, 178n22 self-defense, 238n46 unreasonable searches and seizures, 95–103 utilitarian principles, 143 France, 4, 14, 31, 232n22, 249n153 Frase, Richard S., 230n1, 232n22, 238–39n1, 247–48n136, 248n140 free speech, 59–60, 203n10, 206n51, 207n61, 207n70, 208n81 freedom of the press, 30, 206n46 Fried, Charles, 198n41 fundamental rights, 55–56, 62, 205n8 The Gabcikovo-Nagymaros Project, 188n142 Gardam, Judith G., 182–83n66, 184n99 gays and lesbians, 27, 65

259

260

Subject Index

gender discrimination ends-beneﬁts proportionality, 55 intermediate scrutiny, 5, 61, 203n10, 204n1 leave beneﬁts, 226n199 Title IX, 228–29n32 Geneva Conventions Additional Protocols, 20–24 law of war, 18–20, 182n62, 182n63 military objective, 182n54 Protocol I, 13, 186–87n116 genocide, 24 Georgia, 106–7, 131–33, 147, 154–55, 239n8, 240n14 Germany constitutional review standards and, 57, 206n46 inner core autonomy, 54 pretrial defendants’ rights, 104, 232n22 proportionality principles, 33, 47, 173 reasonableness, 37, 194n1 rule of law, 28–31, 190n174 suitability, 28, 49, 59, 62, 74, 171–72 welfare state, 4, 14 gerrymandering, 230n256 Gibbs, Margaret R., 239–40n13 Gideon v. Wainwright, 114 Ginsburg, Ruth Bader, 140, 141 Gotanda, John Y., 212n37 Graham v. Connor, 102 grand juries, 114, 234n52 Green, Stuart P., 238n44 Green v. County School Board of New Kent County, 86, 227n215, 227n216 Gregg v. Georgia, 147, 240n14 Grifﬁn v. California, 106–7 Groot, Huig de. See Grotius, Hugo gross disproportionality death penalty, 131 Ewing v. California, 139–40, 159 excessive ﬁnes clause, 151–53 forfeitures, 170 Harmelin v. Michigan, 151, 159 liquidated damages, 196–97n34 prison terms, 93, 142–43, 145–46 sentencing theory, 165–66, 170 Smith v. the Queen, 168 United States v. Bajakajian, 151

Grossman, Steven, 240n30 Grotius, Hugo, 4, 13, 17–18, 25, 181n44 Grutter v. Bollinger, 54–56, 205n19, 205n23, 227n221 Gulf War, 24–25, 186–87n116 gun laws, 246n127 habeas corpus, 140–41, 234n52 habitual-offenders, 144 Hadley v. Baxendale, 38 Hague Conventions, 18–20, 182n60 Hand, Learned, 44 hard labor, 130–31, 246n121 Harmelin v. Michigan Ewing v. California, 139, 142 gross disproportionality, 151, 159 life in prison, 137–40, 156, 241n41 prison terms, 137–40, 145–46, 204n14, 241n48, 242–43n70 retributive punishment theories, 137 three-factor test, 141 Harris v. New York, 111 Hart, H.L.A., 120–21, 164, 248n141 Hart v. Coiner, 135, 241n36 Heckman, R. Harper, 196n28, 198n42 heightened scrutiny Congressional powers, 84, 225–26n198 Dolan v. City of Tigard, 220n142 land-use permit conditions, 5 Lochner era, 63 possessory exactions, 220n142 proportionality principles, 5 punitive damages, 69 Solem v. Helm, 178n22 Helm, Jerry, 144–45 Hensley v. Eckerhart, 81–82, 222n162 Herz, Michael, 239–40n13 hippies, 64 Hofer, Paul J., 249n158 homelessness, 118, 236n14 homosexuality, 27, 65, 250n160 Hope v. Pelzer, 148 Hudson v. McMillian, 149, 243n83, 244n90 human dignity, 243n85 human rights, 26, 143, 162, 167, 194n276, 206n46 Hungary, 188n142 Hussein, Saddam, 24

Subject Index Hutto v. Davis, 134–35, 144, 240n30 hypnotically refreshed testimony, 106 identical elements test, 157, 159 Illinois, 47–48, 110, 114, 153–54, 157–60 impact fees, 79 impeachment rules, 110–11 imperfect self-defense, 125, 238n48 implicit proportionality principles. See also alternative-means proportionality; ends-beneﬁts proportionality antitrust injury, 10, 14 criminal justice, 91–93, 95 criminal liability, 92 excessive ﬁnes clause, 152 excessive punishment, 156 pretrial defendants’ rights, 97 prison terms, 140 sentencing theory, 129 treatment of prisoners, 147, 149 in personam forfeitures, 150 In re Rodriguez, 155, 246n116 In re Winship, 119 in rem forfeitures, 150 incapacitation, 139, 141–42, 146, 162, 242n67 incorrigible, 246n118 indeﬁnite commitment, 234n48 indeterminate sentencing systems, 166–68, 250n167 Indiana, 155, 246n117 indirect purchasers, 47–48 individual autonomy constitutional review standards, 54, 57 contract law, 198n41 federalism, 83, 209n15 foreign legal regimes, 26–35 French courts, 31 German welfare state, 28–31, 190n174 indeﬁnite commitment, 234n48 judicial review, 52, 170, 203n11 Lawrence v. Texas, 65, 210n134 Lebach Case, 30, 206n46 proportionality principles, 11, 14, 169, 173 rational basis review, 66 rational basis with a bite, 65–66 rule of law, 4, 176n3 strict scrutiny, 11, 52, 54, 66, 203n11 two-tier review, 203n11

individual rights, 9, 110, 128, 171 injunctive/structural relief, 47–48 inmate marriage, 243n73 in-presence rule, 231n12 integration, 227n221 intermediate scrutiny constitutional review standards and, 57–61 content-neutral speech, 203n10 criminal liability, 5 death penalty, 5 dormant commerce clause, 57–58, 61, 83, 203n10 ends-beneﬁts proportionality, 55 federalism, 5 First Amendment cases, 58–60 forfeitures, 5 free speech, 206n51 gender discrimination, 5, 61, 203n10, 204n1 Marshall critique, 204n1 narrow-tailoring, 58 necessity, 59 overbreadth doctrine, 59–60 proportionality principles, 6, 14, 68, 173 rational basis review, 61–62 rational basis standard with a bite, 53 suitability, 57, 59 two-tier review, 202n2 International Court of Justice, 20–21, 186–87n116, 188n142 International Criminal Court, 167, 250n162 International Criminal Tribunal for the Former Yugoslavia (ICTY), 23, 184n95, 185n104 International Handelsgesellschaft, 34 international law, 9, 179n30 International Ore & Fertilizer Corp. v. SGS Control Services, Inc., 39–40, 195n17, 196n22 International Peace Conferences, 19 interstate commerce, 57–58 interstate travel, 118 Intoxicating Substances Act, 30 involuntary commitment, 109–10 involuntary intoxication, 118, 125 Iran, 21, 183n84 Iraq, 21, 24, 25, 186–87n116 Israeli Supreme Court, 7

261

262

Subject Index

Jackson, J., 98, 100–102 Jackson, Vicki C., 225n197 Jochnick, Chris af, 185–86n116 judicial oversight, 8 judicial review. See also intermediate scrutiny; rational basis review; strict scrutiny; Supreme Court alternative-means proportionality, 3, 170 Congressional powers, 225–26n198 criminal liability, 235–36n1 damages, 238–39n1 discrimination, 225–26n198 due process, 10 ends-beneﬁts proportionality, 62, 170 equal protection, 10 excessive bail, 104 excessive damages, 238–39n1 explicit proportionality principles, 172–73 Fourteenth Amendment, 10 French courts, 31 individual autonomy, 52, 170, 203n11 Lawrence v. Texas, 204n2 as legal rules, 53 limiting retributive proportionality, 3 Ninth Amendment, 5 prison terms, 141–46 probable cause, 101 property rights, 220–21n150 proportionality principles, 3, 5, 7–8, 51–52, 99, 169, 170–72, 178–79n27 punitive damages, 51–52, 69, 203n5, 212n28 rough proportionality, 52 sentencing theory, 166 standards for, 14 two-tier review, 204n3 U.S. Constitution, 4–5 jury trial, 92, 97, 105–6, 109, 114, 233n38 jus ad bellum, 8, 19–20 jus in bello, 8, 20–24 just compensation, 41 just deserts, 6, 142, 161, 166–67, 247–48n136, 249n154 just war theory development of, 4, 13, 15–18 ends-beneﬁts proportionality, 17 jus ad bellum, 8 means-proportionality principles, 17

natural law theory, 17 Phillimore commentary, 180n20 preemptive wars, 24–25, 187n124 proportionality principles, 4, 8, 10 requirements for, 181n33 two-tier review, 52 UN Charter, 20–21 utilitarian principles, 7 justiﬁcation defenses, 124–25, 238n48 juvenile justice civil-criminal divide, 110, 234n48 culpability, 246n126 death penalty, 132, 239n10 Roper v. Simmons, 250n160 State v. Hayes, 156 Workman v. Commonwealth, 156, 246n118 Kansas, 247–48n136 Karlan, Pamela S., 212n30, 238–39n1 Kennedy, Anthony Baze v. Rees, 133 Ewing v. California, 139 Harmelin v. Michigan, 137–39, 142, 146, 156 property rights, 220–21n150 Kentucky, 133, 156, 246n118 Kimel v. Florida Board of Regents, 84, 225n198, 227n207 Klein, Susan R., 233n38 Kothe v. R.C. Taylor Trust, 43 Kupreskic Judgment, 23–24 LaFave, Wayne R., 237n23 laissez-faire, 4 Lambert v. California, 116–17 Lamer, Antonio, 189–90n168 land-use permit conditions Agins v. City of Tiburon, 76, 80, 216n76, 217n101 alternative-means proportionality, 74 Chevron decision, 80 Dolan v. City of Tigard, 78–79, 216n76, 219n120 eminent domain, 219n116 ends-beneﬁts proportionality, 74 essential nexus, 75, 78 heightened scrutiny, 5 individual autonomy, 216n76 Lingle v. Chevron U.S.A., Inc., 79–80

Subject Index necessity, 74, 78 possessory exactions, 74, 216n81 proportionality principles, 67, 78, 170 rational basis review, 77–78, 80 rough proportionality, 74–80 suitability, 74, 78 takings clause, 74, 217n102, 219n116 zoning ordinances, 217n102 law of war Caroline incident, 19–20, 182–83n66 civilian population, 22, 184n95 Convention for the Amelioration of the Condition of the Wounded and Sick in Armies in the Field, 181n52, 183n72 First and Second International Peace Conferences, 19, 182n59 Geneva Conventions, 18–20, 181n52, 182n62, 182n63 Hague Conventions, 18–20, 182n60 jus ad bellum, 182–83n66 Kupreskic Judgment, 23–24 military objective, 182n54 proportionality principles, 14, 18–20, 26, 169 Protocol I, 13 self-defense, 13–14 St. Petersburg Declaration of 1868, 18, 182n54 UN Charter, 13, 20 Lawrence v. Texas, 65–66, 176–77n8, 204n2, 210n134, 250n160 Lebach Case, 30, 206n46 Lee, Youngjae, 248n140 legislative branch. See also Congress criminal liability, 127 excessive punishment, 153, 165 judicial review, 8, 11, 170 property rights, 80 proportionality principles, 9 rational basis review, 62–63 rational basis with a bite, 63–64 Lerner, Renee Lettow, 238n44 lesbians, 27, 65 lethal injection, 133, 243n75 liability. See also criminal liability divided damages, 45 foreseeable losses, 38–40, 195n15 limiting retributive proportionality, 6, 8 liquidated damages, 41–44, 46

non-settling defendants, 45–46 pro tanto rule, 200n83 proportionate share rule, 46, 200n86 rule of lenity, 121–22 libertarianism, 176–77n8 liberty, 95–100, 107–8, 113, 234n48, 236–37n18 life in prison vs. death penalty, 132–33, 164–65, 239–40n13 drug offenses, 241n47 Harmelin v. Michigan, 137–40, 156, 241n41 jury trial, 105–6 means-proportionality principles, 250n167 parole, 164–65 People v. Bullock, 156, 241n41 Rummel v. Estelle, 144 State v. Hayes, 156, 246n121 status crimes, 241n47 Workman v. Commonwealth, 156 limiting retributive liability, 6, 49 limiting retributive proportionality. See also retributive proportionality blameworthiness, 6 criminal liability, 127–28, 143–44 death penalty, 133, 143 excessive ﬁnes clause, 150, 152–53 excessive punishment, 153, 155, 158, 162 excuse defenses, 92, 125 fair notice, 92, 117, 121 ﬁnes, 143 forfeitures, 120, 143 Illinois sentencing standards, 158 judicial review, 3 just deserts, 6 justiﬁcation defenses, 125 liability, 6, 8 Model Penal Code, 248n140 prison terms, 134, 138 proof beyond reasonable doubt, 115, 119, 143–44, 237n19 punishment, 6, 115, 172 punitive damages, 68, 70, 120, 130, 238–39n1 retributive punishment theories, 4 sanction severity, 170 sentencing guidelines, 167 sentencing theory, 161–62, 165–66, 248n141 status crimes, 115, 118–19

263

264

Subject Index

limiting retributive proportionality (continued) treatment of prisoners, 147 treble damages, 47 United States v. Bajakajian, 151 voluntary act, 92, 124 limiting retributive severity, 6, 8, 49, 171 Lingle v. Chevron U.S.A., Inc., 79–80, 217n83 liquidated damages compensatory damages, 45–46 construction disputes, 196n28 contract law, 38, 40, 42, 197n35, 198n41, 198n42 disproportionate, 42, 198–99n45 express language, 44 gross disproportionality, 196–97n34 just compensation, 41 lump sum, 43–44, 199n60 Maryland Dredging & Contracting Co. v. United States, 43 penalties and, 196–97n34, 197n35, 197n36, 199n65 proportionality principles, 10, 49 punishment, 40–44 reasonableness, 41, 197n36, 199n66 Restatement (Second) of Contracts, 41 Sun Printing & Publishing Ass’n v. Moore, 42–43, 198–99n45 Supreme Court test for, 42–43, 46 Tayloe v. Sandiford, 43–44, 199n60, 199n66, 199n68 United States v. Bethlehem Steel Co., 42 Lochner era, 62, 203n11, 217–18n107 Lochner v. New York, 62–63 Lockyer v. Andrade, 140–41, 144–45 Louisiana, 155–56 lump sum, 43–44, 199n60 Magna Carta, 136, 149, 244n93 malicious and sadistic, 149 manslaughter, 125 marijuana, 135, 209n15, 245n104 Marshall, Thurgood, 138, 204n1 Maryland Dredging & Contracting Co. v. United States, 43 Mathews v. Eldridge, 113, 235n63 McDermott, Inc. v. AmClyde and River Don Castings, Ltd., 45–46, 200n84, 200n85

McDonald v. United States, 98, 200n86 means of war, 21–24 means-proportionality principles afﬁrmative defenses, 124 commercial speech doctrine, 61 criminal justice, 91–92 criminal liability, 120 criminal procedure rights, 96 death penalty, 132–33 defendants’ rights, 96 European judicial review, 62 excessive punishment, 153, 156, 158 exclusionary rules, 112 forced medication, 108 forfeitures, 151 Fourth Amendment, 97 French Declaration of the Rights of Man, 249n153 indeterminate sentencing systems, 168, 250n167 individual rights, 171 jury trial, 105–6 just war theory, 17 life in prison, 250n167 prison terms, 141–42, 144, 146 prisoners’ rights, 243n73 punishment, 129 reasonableness, 37 rule of lenity, 121–22 self-defense, 92, 115–16 sentencing law, 166–67 sentencing theory, 164–65, 167 strict liability, 123 subconstitutional review, 126–28 Tennessee v. Garner, 102, 231n13 treatment of prisoners, 147, 149 unreasonable searches and seizures, 95 medication. See forced medication mens rea, 136, 161, 237n28, 237n32 mental retardation blameworthiness, 161 death penalty, 132, 239n10, 240n15, 250n160 quasi-suspect status, 210n127 rational basis with a bite, 64–65 Michaels, Alan C., 231n12 Michigan, 156, 241n41. See also Harmelin v. Michigan Military and Paramilitary Activities in and against Nicaragua, 20–21

Subject Index military objective Additional Protocols, 22 civilian population, 184–85n103, 185n104 Geneva Conventions, 182n54 Hague Conventions, 19 Powell Doctrine, 187n132 proportionality principles, 184n99 minimum wages, 63, 209n110 Minnesota, 123, 167, 237n32, 247–48n136 minority rights, 5, 54, 62, 89–90, 178n15, 230n256 Miranda rule, 110–12, 235n61, 235n66 misdemeanors arrests for, 231n12 disproportionality, 97 ends-beneﬁts proportionality, 97 excessive bail, 104, 232n23 jury trial, 114 petty offense, 114, 235n67 pretrial defendants’ rights, 235n70 right to counsel, 114, 235n66 warrants, 101 Model Code of Pre-arraignment Procedures, 234n54 Model Penal Code deadly force, 231n13 excuse defenses, 127 limiting retributive sentencing theory, 248n140 mens rea, 237n28 self-defense, 238n46 sentencing theory, 249n154 strict liability, 122–23, 237n27 voluntary act, 124, 238n41 monetary relief, 47 Moreno. See United States Department of Agriculture v. Moreno Morris, Norval, 162, 164, 167, 248n140, 249n154 Morrissette v. United States, 123 murder, 125, 236n2, 239n10, 246n126 narrow-tailoring afﬁrmative action, 55 civil-criminal divide, 109 commercial speech doctrine, 208n81 criminal liability, 118 excessiveness, 109–10

free speech, 207n61 inmate marriage, 243n73 intermediate scrutiny, 58 Miranda rule, 111–12 shackles, 107 strict scrutiny, 54 treatment of prisoners, 149 NATO bombing, 23 natural law theory, 5, 17, 176–77n8 Nebbia v. New York, 62–63 necessity principle afﬁrmative defenses, 124 alternative-means proportionality, 124 German proportionality principles, 28, 62 intermediate scrutiny, 59 land-use permit conditions, 74, 78 overbreadth doctrine, 59–60 proportionality principles tests, 34–35 socioeconomic legislation, 207n61 treatment of prisoners, 147 negligence, 44, 46, 122–23, 127 New Hampshire, 157 New York state, 62–63, 111, 123 Nicaragua v. United States, 20–21 Ninth Amendment, 5, 177n11 Nixon v. Shrink Missouri Government PAC, 58 Nollan v. California Coastal Commission, 74–77, 79, 220n142 nondeadly force, 102 nonperformance, 199n66 nonproportionality, 243n85 nonretributive proportionality, 4, 139, 142–43, 161–66. See also utilitarian principles nonsettling defendants, 45–46, 200n84, 200n85, 200n86 Normand, Roger, 186–87n116 nuclear weapons, 22, 186–87n116 O’Connor, Sandra Day, 90, 98–99, 137, 139, 141–42 offense-offender seriousness limiting retributive proportionality, 104 proportionality principles, 100–103 reasonableness, 100, 103 right to counsel, 114 search-and-seizure powers, 113

265

266

Subject Index

offense-offender seriousness (continued) strip search, 232n18 Terry v. Ohio, 102 United States v. Hensley, 102 unreasonable searches and seizures, 95–96 Welsh v. Wisconsin, 100–102, 231n11 Ofﬁce of Civil Rights, 228–29n32 O’Neill, Timothy P., 231n4 one-person-one-vote rule, 85, 88–89 Operation Praying Mantis, 21 Oregon, 160, 247n132 organized crime, 233n26 overbreadth doctrine, 59–60, 123, 146, 207n70, 242n69 Paciﬁc Mutual Life Insurance Co. v. Haslip, 69 Packer, Herbert L., 121, 237n23, 238n51 parole, 134–35, 144, 146, 164–66, 246n121 parsimony principle, 164, 166–67, 249n154, 249n158 Pasadena Board of Education v. Spangler, 87, 228n226 penalties, 44, 196–97n34, 197n35, 197n36, 199n65 People v. Antolovich, 152 People v. Bullock, 156, 241n41 People v. Decina, 124 People v. Malone, 152 People v. McDonald, 159 People v. Sharpe, 158–60, 246–47n128, 247n131 People v. Wisslead, 159–60, 247n131 petty offense, 114, 235n67 Phillimore, Robert, 180n20, 181n33 Pike v. Bruce Church, Inc., 57–58 Planned Parenthood of Southeastern Pennsylvania v. Casey, 55–56, 176–77n8 plea bargains, 126 Poland, 32–33 police powers checkpoints, 245n114 deadly force, 101–2, 231n13, 238n46 exclusionary rules, 110, 234n54 French Declaration of the Rights of Man, 249n153 in-presence rule, 231n12 limits on, 95–96

Miranda rule, 110–11, 235n61, 235n66 nondeadly force, 102 offense-offender seriousness, 95–96 reasonableness balancing, 97–100 search-and-seizure powers, 99, 113 strip search, 232n18 warrants, 100–101 pornography, 245–46n115 Portuondo v. Agard, 106 Posner, Richard, 38–39 possessory exactions City of Monterey v. Del Monte Dunes at Monterey, Ltd., 79 Dolan v. City of Tigard, 79, 220n133 heightened scrutiny, 220n142 land-use permit conditions, 74, 216n81 Lingle v. Chevron U.S.A., Inc., 217n83 Nollan v. California Coastal Commission, 76, 79 property rights, 220n133 rough proportionality, 79 potential harm BMW v. Gore, 72, 214–15n65 punitive damages, 69, 72–73, 211n23 reasonableness, 72–73 State Farm v. Campbell, 73, 214–15n65 TXO Production Corp. v. Alliance Resources Corp, 214n58 Powell, Lewis, 82–83, 135–37, 223n179, 223–24n181, 241n36, 241n38 Powell Doctrine, 25–26, 187n132 Powell v. Texas, 118, 120, 131, 236n14 preemptive wars, 17, 24–25, 186n119, 187n124 pretrial defendants’ rights alternative-means proportionality, 103–5 civil-criminal divide, 109 defendants’ rights, 5, 178n15 ends-beneﬁts proportionality, 103–5 excessive bail, 96, 103 foreign legal regimes, 104, 232n22 implicit proportionality principles, 97 limits on, 103–5, 232n21 minority rights, 178n15 misdemeanors, 235n70 right to counsel, 114, 235n70 subconstitutional review, 103–4 treatment of prisoners, 114, 235n70, 243n71

Subject Index pretrial release rights, 91 price regulations, 63 principle of reformation, 155, 245n113 prior convictions blameworthiness, 161, 247–48n136 Eighth Amendment, 242n56 Illinois sentencing standards, 157 indeterminate sentencing systems, 166–67 prison terms, 142, 144–45, 242n56 Prison Litigation Reform Act of 1995, 149 prison terms. See also cruel-and-unusual punishment; sentencing theory alternative-means proportionality, 135 Antiterrorism and Effective Death Penalty Act of 1996, 141 crime control, 143, 145 deterrence, 138–39, 145–46, 242n67 disproportionality, 144 drunk driving, 136 Eighth Amendment, 129–30, 134 ends-beneﬁts proportionality, 142, 144 Ewing v. California, 138–39, 144–45, 157, 242n57 excessive punishment, 153 excessiveness, 142, 144 fairness, 143 federalism, 137 felony, 137 gross disproportionality, 93, 142–43, 145–46 habitual offenders, 144 Harmelin v. Michigan, 137–40, 145–46, 204n14, 241n48, 242–43n70 Hart v. Coiner, 135, 241n36 human rights, 143 Hutto v. Davis, 134–35, 144, 240n30 implicit proportionality principles, 140 incapacitation, 139, 141–42, 146 judicial review, 141–46 just deserts, 142 limiting retributive proportionality, 134, 138 Lockyer v. Andrade, 140–41, 144 means-proportionality principles, 141–42, 144, 146 nonretributive proportionality, 139 nonretributive theories, 142–43 overbreadth doctrine, 146, 242n69

prior convictions, 142, 144–45, 242n56 proportionality principles, 52 punishment goals, 238–39n1 vs. punitive damages, 68 rational basis review, 5 rehabilitation, 138–39 retribution, 138 retributive proportionality, 136, 141–42 review standards, 141–46 Rummel v. Estelle, 134–35, 144 Solem v. Helm, 134–39, 144–46, 241n36, 241n38 status crimes, 144 strict scrutiny, 143 three-factor test, 141–42 utilitarian principles, 142 prisoners’ rights, 146–49, 157, 243n72, 243n73, 243n75, 243n83 prisoners’ treatment. See treatment of prisoners privacy rights, 95–100, 113 pro tanto rule, 45–46, 200n83, 200n84, 200n85, 200n86, 200n88 probable cause, 101 proof beyond reasonable doubt, 115, 119–20, 127, 143–44, 237n19 property crimes, 140 property rights. See also land-use permit conditions City of Cleburne v. Cleburne Living Center, Inc., 220–21n150 Department of Agriculture v. Moreno, 220–21n150 forfeitures, 150 impact fees, 79 judicial review, 220–21n150 possessory exactions, 220n133 punitive damages, 216n76 rational basis review, 80, 220–21n150 reasonableness balancing, 97–100 rough proportionality, 52, 203n6 search-and-seizure powers, 113 takings clause, 80, 220–21n150 unreasonable searches and seizures, 95–96 prophylactic legislation, 84, 226n199, 226n200 proportional representation, 90, 230n256

267

268

Subject Index

proportionality principles. See also ends-beneﬁts proportionality; means-proportionality principles afﬁrmative defenses, 238n44 antitrust law, 47–49, 169 attorney’s fees awards, 67 burden-of-proof, 171 civil liberties, 7 common law, 8, 10, 14, 172 compensatory damages, 14, 44–45 congruence and proportionality, 5, 170, 178n23, 193n262, 227n202 countermeasures, 188n142 criminal law, 7 criminal liability, 10, 115 damages, 37–38, 169 due process, 172 European Court of Justice, 34–35, 192–93n245 European Union, 14, 33–35, 194n276 excessiveness, 3, 7, 169–70, 245n11 federalism, 9 forced medication, 108 forfeitures, 129–31 Fourteenth Amendment, 5, 67 Germany, 33, 47, 173 Hague Conventions, 19 human rights, 26 individual autonomy, 11, 14, 169, 173 intermediate scrutiny, 6, 14, 68, 173 judicial review, 3, 5, 7–8, 51–52, 99, 169–72, 178–79n27 just war theory, 4, 8, 10 land-use permit conditions, 67, 78, 170 law of war, 14, 18–20, 26, 169 nonretributive punishment theories, 4 offense-offender seriousness, 100–103 pretrial release rights, 91 prison terms, 52 prisoner treatment, 10, 129–31 punishment, 4, 9, 10, 51–52 punitive damages, 67 rational basis review, 6, 52, 67–68, 173 reasonableness, 172 retributive punishment theories, 4 rule of law, 4, 169, 175–76n1 rule of lenity, 121–22 self-defense, 4, 92 sentencing law, 130, 160

sentencing theory, 10 socioeconomic legislation, 74 status crimes, 92 subsidiarity, 34 Supreme Court, 6, 11 treatment of prisoners, 10, 129–31 U.S. Constitution, 51, 172 welfare state, 4 Western legal systems, 13 proportionate fault rule, 46 proportionate penalty clause, 154, 155, 157–60, 246n117, 246–47n128 proportionate share rule, 46, 200n86, 200n88 Protocol I, 13, 186–87n116 public education, 86–87 public policy, 165–66 punishment. See also cruel-and-unusual punishment; death penalty; excessive punishment; sentencing theory alternative-means proportionality, 172 blameworthiness, 121 civil-criminal divide, 109–10, 233n38 cost-beneﬁt analysis, 110 criminal justice, 92–93 criminal law, 92–93 criminal liability, 120, 126 criminal procedure rights, 96 culpability, 172 ends-beneﬁts proportionality, 129, 172 extradition and, 250n162 fair notice, 115, 117 forfeitures, 150–51 French Declaration of the Rights of Man, 249n153 goals, 238–39n1 just deserts, 161 limiting retributive proportionality, 6, 115, 172 limiting retributive severity principles, 171 liquidated damages and, 40–44 means-proportionality principles, 129 proportionality principles, 4, 9–10, 51–52 retributive proportionality, 120–21 rule of lenity, 122 sentencing theory, 248n141 strict liability, 122 treatment of prisoners, 146, 244n90

Subject Index utilitarian principles, 129 punitive damages antitrust law, 47–49 attorney’s fees awards, 80–83, 221n156 BMW v. Gore, 68–69, 211n10, 211n14, 212n24, 213n41, 215n68 Browning-Ferris Industries of Vermont, Inc. v. Kelco Disposal, Inc., 150, 244n95 class action suits, 71, 213n49 common law, 68–69 vs. compensatory damages, 73, 81, 214n56, 215–16n71 computation of, 73, 214–15n65, 215n66, 215n67 criminal liability, 73–74 criminal penalties, 73–74 deﬁnition, 68, 210n2 deterrence, 69, 73–74, 213n54 discrimination, 214n64 due process, 68–69, 212n28 Eighth Amendment, 140 ends-beneﬁts proportionality, 72 Excessive Fines Clause, 72 explicit proportionality principles, 170 Fair Housing Act, 214n64 federalism, 212n30 forfeitures, 216n76 Fourteenth Amendment, 68 guideposts for, 69–74, 211n23 heightened scrutiny, 5, 69 judicial review, 51–52, 69, 203n5, 212n28 limiting retributive proportionality, 68, 70, 120, 130, 238–39n1 potential harm, 69, 72–73, 211n23 property rights, 216n76 proportionality principles, 67 rational basis review, 69 reasonableness, 69 recidivism, 71 reprehensibility, 70–72, 215n66, 215–16n71 retribution, 68–69, 211n4, 213n54 rough proportionality, 170 rule of lenity, 237n23 societal harm, 213n51 split-recovery statutes, 72, 213n54 State Farm v. Campbell, 69–71, 73–74, 212n25, 212n30, 212n37, 214n61, 215–16n71, 216n76 strict scrutiny, 238–39n1

takings clause, 71–72 TXO Production Corp. v. Alliance Resources Corp, 69 utilitarian principles, 129 purposeless and needless, 133 quasi-suspect status, 64–65, 210n127 R. v. Big M Drug Mart Ltd., 27 R. v. Oakes, 27 R. v. Zundel, 27 racism, 240n30 Radin, Margaret J., 239n10, 249n154 rape, 156, 239n8, 239n10, 245–46n115 rational basis review constitutional review standards, 53, 170, 204n2 death penalty, 131–32, 239n12 disability discrimination, 225–26n198 Dolan v. City of Tigard, 218n109 forced medication, 108–9 fundamental rights, 62 individual autonomy, 66 intermediate scrutiny and, 203n10 land-use permit conditions, 77–78, 80 legislative branch, 62–63 minority rights, 62 Nollan v. California Coastal Commission, 76 prison terms, 5 property rights, 80 proportionality principles, 6, 52, 67–68, 173 punitive damages, 69 rational basis with a bite, 63–66 socioeconomic legislation, 62–63, 67, 203n11, 209n15 standards for, 62–63 state sovereignty, 84 status crimes, 209n15 suitability, 62, 171 two-tier review, 202n2 unenumerated rights, 5 United States v. Carolene Products Co., 177n12 rational basis with a bite, 53, 63–66 reasonable mistakes, 238n48 reasonableness. See also reasonableness balancing

269

270

Subject Index

reasonableness (continued) antitrust law, 49 attorney’s fees awards, 81–83 BMW v. Gore, 214n56 common law, 37–38 compensatory damages, 82 contract law, 38 ends-beneﬁts proportionality, 37 European law, 37, 194n1 liquidated damages, 41, 197n36, 199n66 means-proportionality principles, 37 offense-offender seriousness, 100, 103 potential harm, 72–73 proportionality principles, 172 punitive damages, 69 rule of law, 37 sentencing theory, 166 State Farm v. Campbell, 214n56 treble damages, 48 reasonableness balancing. See also reasonableness alternative-means proportionality, 98 Atwater v. City of Lago Vista, 98–99, 230n1, 231n6 deadly force, 101–2 Fourth Amendment, 231n4 liquidated damages, 41, 197n36, 199n66 police powers, 97–100 privacy rights, 97–100 property rights, 97–100 search-and-seizure powers, 99, 170 Supreme Court, 99–100 temporary seizures, 230–31n3 Terry v. Ohio, 102 recidivism, 71, 134, 136–37, 140, 142 recklessness, 239n10 recovered damages, 223–24n181 reduced culpability, 125 rehabilitation, 138–39, 155, 162, 166, 245n113, 246–47n128 Rehnquist, William, 111, 134–35, 137–39, 223–24n181 Reiten im Walde Case, 28–31 Reliable Transfer rule, 46, 200n85 repeat offenders, 242n56 reprehensibility, 70–72, 215n66, 215–16n71 Restatement (Second) of Contracts, 41, 197n36 restraint of trade, 201–2n102, 202n103

retribution, 68–69, 73, 131, 138, 211n4, 213n54 retributive proportionality. See also limiting retributive proportionality blameworthiness, 6 criminal justice, 92 criminal liability, 126, 143–44, 248n139 culpability, 144–45 deﬁnition, 6 forfeitures, 93 prison terms, 136, 141–42 punishment, 120–21 sentencing theory, 160–63, 167, 247– 48n136 and the Supreme Court, 8–9 retributive punishment theories, 4, 137 reverse deterrence, 163–64 Rhodes v. Chapman, 147 right to counsel, 114, 235n66, 235n70 Rivera. See City of Riverside v. Rivera road blocks, 98 Roberts, John, 133, 146, 234n21, 243n75 Roberts, Julian V., 247–48n136 Robinson, Paul H., 238n48 Robinson v. California, 117–19, 131, 236n15 Rock v. Arkansas, 105–6 Roe v. Wade, 56, 177n11 Romer v. Evans, 65, 204n2 Roper v. Simmons, 132, 178n22, 240n14, 240n15, 250n160 rough proportionality City of Monterey v. Del Monte Dunes at Monterey, Ltd., 79 Dolan v. City of Tigard, 74–80, 217– 18n107, 218n108, 219n115, 219n132 due process, 217–18n107 Fourteenth Amendment, 52 judicial review, 52 land-use permit conditions, 74–80 possessory exactions, 79 property rights, 203n6 punitive damages, 170 socioeconomic legislation, 77 rule of law European Union, 34 formal legality, 4, 176n2 German proportionality principles, 28–31, 190n174 individual autonomy, 4, 176n3 need for, 3

Subject Index proportionality principles, 4, 169, 175–76n1 reasonableness, 37 Reiten im Walde Case, 28–31 rule of lenity, 115, 121–22, 127, 237n23 rules of combat, 21–24 Rummel v. Estelle, 134–35, 137, 144 Saint Augustine, 4, 13, 15–17 sanction severity, 130, 166–67, 170 Scalia, Antonin Baze v. Rees, 240n21 Ewing v. California, 138–39, 178n22 Harmelin v. Michigan, 137–39, 145–46 Nollan case, 220n142 overbreadth doctrine, 59–60 prison terms, 143 United States v. Patane, 111 Scott v. Illinois, 114 search-and-seizure powers, 99, 113, 155, 170, 245n114 Second International Peace Conference, 19 segregation, 86–87, 228n226. See also desegregation self-defense afﬁrmative defenses, 124–25, 238n44 Caroline incident, 19–20 criminal liability, 115 ends-beneﬁts proportionality, 92, 115–16 law of war, 13–14 means-proportionality principles, 92, 115–16 Model Penal Code, 238n46 as natural right, 16–17 preemptive wars, 24 proportionality principles, 4, 92 UN Charter, 20–21 self-incrimination, 106, 111, 235n61 Sell v. United States, 107–8 sentencing law, 130, 160, 166–67, 249n158 sentencing theory. See also prison terms; punishment abuse of discretion, 166 alternative-means proportionality, 162 blameworthiness, 161–62 Constitutional Court of Ukraine, 33 cost-beneﬁt analysis, 162 crime control, 163, 165, 167, 248n141 culpability, 161, 163, 167, 246n126

deterrence, 162–63, 248–49n147 Eighth Amendment, 161, 165–66, 245–46n115, 248n140 ends-beneﬁts proportionality, 163–65 excessive punishment, 164–65 explicit proportionality principles, 129 extradition, 250n162 fair notice, 166 foreign legal regimes, 129, 167–68 gross disproportionality, 165–66, 170 guidelines, 167, 249n158 human rights, 162, 167 Illinois standards, 153, 157–60 implicit proportionality principles, 129 incapacitation, 162 International Criminal Court, 167, 250n162 judicial review, 166 just deserts, 161, 247–48n136, 249n154 Lawrence v. Texas, 250n160 limiting retributive proportionality, 161–62, 165–66, 248n141 means-proportionality principles, 164–65, 167 Model Penal Code, 249n154 nonretributive proportionality, 161–66 parsimony principle, 164, 167 proportionality principles, 10 proportionate penalty clause, 157–60 public policy, 165–66 reasonableness, 166 rehabilitation, 162 retributive proportionality, 160–63, 167, 247–48n136 reverse deterrence, 163–64 and sentencing law, 166–67 Smith v. the Queen, 242n69 state government, 93, 245–46n115 subconstitutional review, 129–31 Supreme Court rulings, 129–31 three-strikes law, 163, 242–43n70 September 11, 2001, 24 sexual orientation, 65, 204n2, 210n134 shackles, 107 Shell, G. Richard, 198n41 shoplifting, 139–41 Singer, Richard G., 249n154 Sixth Amendment, 92, 97, 114 sliding-scale proportionality, 66

271

272

Subject Index

Slobogin, Christopher, 245n114 Smith v. the Queen, 167–68, 242n69, 250n165 social harm, 158 socioeconomic legislation necessity principle, 207n61 proportionality principles, 74 rational basis review, 62–63, 67, 203n11, 209n15 rational basis with a bite, 63–66 rough proportionality, 77 United States v. Carolene Products Co., 63, 209n15 sodomy, 65, 204n2, 210n134 Solem v. Helm alcoholism, 241n38 Eighth Amendment, 178n22 Ewing v. California, 139, 242n56 excessive ﬁnes clause, 151–52, 245n104 excessive punishment, 153, 155, 157, 159 forfeitures, 151 heightened scrutiny, 178n22 Lockyer v. Andrade, 141 mens rea, 136 prison terms, 134–39, 144–46, 241n36, 241n38 recidivism, 136–37 three-factor test, 136–39, 141–42 solitary conﬁnement, 148 Souter, David Atwater v. City of Lago Vista, 99 Chavez v. Martínez, 111 desegregation, 228n226 Dolan v. City of Tigard, 217–18n107 Ewing v. California, 140 Harmelin v. Michigan, 137, 146 Lockyer v. Andrade, 141 South Africa, indeterminate sentencing systems, 168 South Carolina, 155 speciﬁc harms, 71–72 split-recovery statutes, 72, 213n54 St. Petersburg Declaration of 1868, 18, 182n54 Stack v. Boyle, 103 standards of decency, 147, 243n75 standing, 92, 110 Staples v. United States, 123 state courts, 39 State Farm v. Campbell

computation of damages, 215n66, 215n67 excessiveness, 214n62 potential harm, 72–73, 214–15n65 proportionality principles, 74 punitive damages, 69–71, 73–74, 212n25, 212n30, 212n37, 214n61, 215–16n71, 216n76 reasonableness, 214n56 state government afﬁrmative defenses, 238n44 City of Boerne v. Flores, 83–84 compensatory damages, 44 contract law, 38 criminal liability, 119 defendants’ rights, 106–7 election districts, 229n242 Eleventh Amendment, 227n207 encroachment on federal powers, 5, 83–85 excessive ﬁnes clause, 151–52 excessive punishment, 129, 153–60 Kimel v. Florida Board of Regents, 84, 225n198, 227n207 Pike v. Bruce Church, Inc., 57–58 prison terms, 139, 242–43n70 and proportionality, 8–9 punitive damages, 68, 70 search-and-seizure powers, 155 sentencing guidelines, 166–67, 249n158 sentencing theory, 93, 245–46n115 treatment of prisoners, 130, 243n72 voluntary act, 124 voting rights, 88–89, 229n236 State v. Hayes, 156, 246n121 states’ rights, 225n197 status crimes. See also drug offenses criminal liability, 236n17 liability, 117–19 liberty, 236–37n18 life in prison, 241n47 limiting retributive proportionality, 115 Powell v. Texas, 236n14 prison terms, 144 proportionality principles, 92 voluntary act, 118 statute of limitations, 237n27 statutory rape, 245–46n115 Stevens, John Paul, 138, 140–41, 217–18n107, 218n108, 241n48, 242–43n70

Subject Index stipulated damages, 43 strict liability, 122–24, 237n27, 237n28, 237n32 strict scrutiny civil-criminal divide, 109 compensatory damages, 238–39n1 constitutional review standards, 53–57, 170, 204n1, 205n8 content-neutral speech, 58, 207n55 criminal liability, 118 due process, 54–56 ends-beneﬁts proportionality, 55 equal protection, 54 European Union proportionality tests, 35 fundamental rights, 205n8 Grutter v. Bollinger, 54–56, 205n19 individual autonomy, 11, 52, 54, 66, 203n11 minority rights, 5 narrow-tailoring, 54 prison terms, 143 punitive damages, 238–39n1 Roe v. Wade, 56, 177n11 two-tier review, 202n2 United States v. Carolene Products Co., 54 U.S. Constitution, 172 strip search, 232n18 Stuntz, William J., 231n4 subconstitutional review criminal justice, 95 criminal liability, 115–16, 120–28 damages, 238–39n1 ends-beneﬁts proportionality, 126–28 exclusionary rules, 111 means-proportionality principles, 126–28 pretrial defendants’ rights, 103–4 rule of lenity, 237n23 sentencing theory, 129–31 utilitarian principles, 126–28 subsidiarity, 34 substantially advances test, 80 suitability antitrust law, 47 German proportionality principles, 28, 49, 59, 62, 74, 171–72 intermediate scrutiny, 57, 59 land-use permit conditions, 74, 78 proportionality principles tests, 34–35 rational basis review, 62, 171

Sullivan, E. Thomas, 226n201 Sullivan, Kathleen M., 202n2, 203n10, 204n3 Sun Printing & Publishing Ass’n v. Moore, 42–43, 198–99n45 Sundance Cruises v. American Bureau of Shipping, 40 suppression of evidence, 234n54 Supreme Court. See also individual justices; judicial review admiralty cases, 38 antitrust law, 47–49 compensatory damages, 44–46 constitutional review standards, 53–54, 204n1 contract law, 198n41 criminal liability, 123 disability discrimination, 225–26n198 divided damages, 200n79 excessive ﬁnes clause, 152–53 excessiveness, 109–10 exclusionary rules, 110 forced medication, 107 international law, 9, 179n30 liquidated damages, 42–43, 46 natural law theory, 5 penalties and contract law, 41 possessory exactions, 74 prison terms, 134–41 proportionality principles, 6, 11 punitive damages, 73 rational basis review, 62 rational basis with a bite, 64 reasonableness balancing, 99–100 retributive proportionality, 8–9 sentencing theory, 129–31 treatment of prisoners, 146 Swann v. Charlotte-Mecklenburg Board of Education, 86, 227n217 takings clause City of Monterey v. Del Monte Dunes at Monterey, Ltd., 79 Dolan v. City of Tigard, 217n102, 218n108 eminent domain, 219n116 essential nexus, 217–18n107 Fifth amendment, 220–21n150 land-use permit conditions, 74, 217n102, 219n116

273

274

Subject Index

takings clause (continued) Nollan v. California Coastal Commission, 77, 79 property rights, 80, 220–21n150 punitive damages, 71–72 Tayloe v. Sandiford, 43–44, 199n60, 199n66, 199n68 Taylor Trust. See Kothe v. R.C. Taylor Trust teaching function, 112 temporary seizures, 230–31n3 Tennessee v. Garner, 101–2, 231n13 Terry v. Ohio, 98, 102, 230–31n3, 231n4 Texas City of Boerne v. Flores, 83–84, 178n23, 203n7, 225n196 Powell v. Texas, 118, 120, 131, 236n14 Rummel v. Estelle, 134–35, 137, 144 Thomas, Clarence Baze v. Rees, 240n21 Ewing v. California, 139, 178n22 Grutter v. Bollinger, 205n19, 205n23 United States v. Bajakajian, 151 United States v. Patane, 111 Thornburg v. Gingles, 89–90, 230n256 three-factor test, 136–39, 141–42 three-strikes law, 134, 139, 141, 163, 242n67, 242–43n70 Tigard Planning Commission, 75–76 Title I, 85 Title IX, 228–29n32 Tonry, Michael, 249n154 torture, 155, 240n19 trade, 60 trafﬁc offenses, 123–24 treatment of prisoners. See also prisoners’ rights Anderson-Bey v. District of Columbia, 148 Baze v. Rees, 243n75 Delaney v. DeTella, 148 due process, 243n71 Eighth Amendment, 129–30, 146–49, 243n71 ends-beneﬁts proportionality, 149 Estelle v. Gamble, 147 euthanasia, 155 excessive force, 148–49, 244n91 excessiveness, 147–49 Hudson v. McMillian, 149, 243n83, 244n90

human dignity, 243n85 implicit proportionality principles, 147, 149 limiting retributive proportionality, 147 malicious and sadistic, 149 means-proportionality principles, 147, 149 narrow-tailoring, 149 necessity principle, 147 nonproportionality principles, 243n85 pretrial defendants’ rights, 114, 235n70 prison riot, 243n83 proportionality principles, 10, 129–31 punishment, 146, 244n90 rehabilitation, 155, 245n113 Rhodes v. Chapman, 147 standards of decency, 243n75 torture, 155 Trammel v. Keane, 148–49 Trop v. Dulles, 131, 243n75 unnecessary rigor, 154 Treaty Establishing the European Community, 34 treble damages, 47–49, 201n93 trial competency, 109, 233n38 Tribe, Laurence H., 176–77n8 Trop v. Dulles, 131, 243n75 two-tier review, 52, 66, 202n2, 203n11, 204n1, 204n3 TXO Production Corp. v. Alliance Resources Corp, 69, 72–73, 214n58 Ukraine, 33 UN Charter, 13, 20–21 undue burden, 55–56 unenumerated rights, 5, 177n11, 177n12 unionizing, 63, 209n111 United Nations, 13 United States Caroline incident, 19–20 contract law and proportionality, 44 Gulf War, 24–25, 186–87n116 Iran attacks, 21, 183n84 laissez-faire state, 4 land-use permit conditions, 77 Nicaragua v. United States, 20–21 Powell Doctrine, 25–26, 187n132 Protocol I, 186–87n116 USS Samuel B. Roberts, 21

Subject Index United States Department of Agriculture v. Moreno, 64, 220–21n150 United States v. Alexander, 150 United States v. Bajakajian, 145–46, 150–52, 203n9 United States v. Bethlehem Steel Co., 42 United States v. Carolene Products Co., 54, 63, 177n12, 209n15 United States v. Jackson, 102, 105–6 United States v. Microsoft Corp., 48 United States v. Morrison, 84–85 United States v. O’Brien, 58–59, 206–7n53 United States v. Patane, 111 United States v. Reliable Transfer Co., 45 United States v. U.S. Gypsum Co., 48–49, 201–2n102 University of Michigan, 55 unnecessary rigor, 157 unreasonable mistake, 125 unreasonable searches and seizures, 95–103. See also Fourth Amendment U.S. Constitution, 4–5, 51, 54, 57, 172. See also subconstitutional review U.S. Court of Appeals, 38 U.S. v. X-Citement Video, 123–24 USS Samuel B. Roberts, 21 Utah Supreme Court, 70–71, 215n67, 215–16n71 utilitarian principles. See also nonretributive proportionality alternative-means proportionality, 7 and civil liberties, 7 criminal justice, 120 criminal liability, 127 cross-comparison test, 158 Eighth Amendment, 143 ends-beneﬁts proportionality, 7 excessiveness, 6 excuse defenses, 125 fair notice, 117 Fourth Amendment, 143 just war theory, 7 nonretributive punishment, 4 prison terms, 142

proportionality principles, 165–66 punishment, 129 punitive damages, 129 strict liability, 122 subconstitutional review, 126–28 vagueness, 237n23 van Gerven, Walter, 178–79n27 Vermont, 154 void for vagueness, 116 volitional requirements, 120 Volokh, Eugene, 232n18 voluntary act, 92, 115, 118, 124, 127, 238n41 von Hirsch, Andrew, 161, 242n67, 247–48n136, 249n154 vote dilution, 89–90, 229n243, 230n256 voting rights, 85–90, 229n236, 229n242, 229n243, 230n256 Voting Rights Act (VRA), 89–90 Vriend v. Alberta, 27 wage levy, 245n103 warrants, 98, 100–101, 110–13 Warren Court, 198n41 Washington, 245n111 Washington v. Harper, 108–9 weapons frisks, 98 Weems v. United States, 130–31 Weigend, Thomas, 232n22 Weinberger, Casper W., 25, 187n132 Weisberg, Benno, 236n15 welfare states, 4, 14, 190n174 welfare termination procedures, 113, 235n63 Welsh v. Wisconsin, 100–102, 231n11 White, Byron, 118, 138, 140, 236n14 Whitebread, Charles, 245n114 willfulness, 123 workers’ compensation, 46 Workman v. Commonwealth, 156, 246n118 Zimring, Franklin E., 242–43n70, 249n154 zoning ordinances, 76–79, 204n2, 217n101, 217n102, 219n132

275

This page intentionally left blank

CASE INDEX

Baze v. Rees, 133, 243n75 Bd. of Ret. v. Murgia, 204n1 Bell v. Wolﬁsh, 233n40, 243n71 Belton v. New York, 231n3 Beneﬁcial Corp. v. FTC, 208n85 Berger v. Arizona, 246n115 Berkemer v. McCarty, 235n66 Bethlehem Steel. See United States v. Bethlehem Steel Co. Bibb v. Navajo Freight Lines, Inc., 206n47 Blanton v. City of North Las Vegas, 235n64 BMW of N. Am., Inc. v. Gore, 68, 69, 72, 73, 74, 178n19, 203n5, 211n5, 211n6, 211n10, 212n26, 212n29, 212n33, 212n34, 212n37, 213n41, 214n56, 214n60, 214n61, 214n62, 214n64, 214n65, 215n66, 215n68, 215n69, 215n70, 215n71, 216n74, 216n76, 221n157, 222n168 Board of Trustees of the State Univ. of N.Y. v. Fox, 208n81 Board of Trustees of Univ. of Ala. v. Garrett, 85, 225n198, 227n207 Boerne. See City of Boerne v. Flores Bouie v. City of Columbia, 116, 236n2 Brady v. United States, 233n27 Broadrick v. Oklahoma, 207n66, 207n74 Brooks v. Tennessee, 106 Brown II. See Brown v. Board of Education Brown v. Board of Education, 86, 227n211

Abraham v. State, 245n113 Accord Asa-Brandt, Inc. v. ADM Investor Servs., Inc, 214n58 Adams v. Carlson, 243n77 Adkins v. Children’s Hosp. of D.C., 209n110 Agins v. City of Tiburon, 76, 80, 216n76, 217n101 Alabama v. Shelton, 235n66 Alaska Tae Woong Venture, Inc. v. Westward Seafoods, Inc., 195n15 Anderson v. Cactus Heights Country Club, 197n34 Anderson-Bey v. District of Columbia, 148 Andrade. See Lockyer v. Andrade Argersinger v. Hamlin, 235n67 Armstrong v. United States, 220n136 Ascher v. Comm’r of Pub. Safety, 245n114 Atkins v. Virginia, 239n10, 240n14, 240n15, 250n160 Atwater v. City of Lago Vista, 98, 99, 230n1, 231n4, 231n6, 231n7, 231n12 Austin v. United States, 150 Badders v. United States, 239n4 Bajakajian. See United States v. Bajakajian Baldwin v. New York, 235n64 Baltimore & Ohio Sw. Ry. Co. v. Voigt, 198n41

277

278

Case Index

Brown v. Illinois, 110 Browning-Ferris Industries of Vermont, Inc. v. Kelco Disposal, Inc., 68, 150, 244n94 Brunswick Corp. v. Pueblo Bowl-O-Mat, Inc., 47 Bullock. See People v. Bullock BVerfGE 35, 202. See Lebach Case BVerfGE 80, 137. See Reiten im Walde Case BVerfGE 90, 145. See Cannabis Case Cal. Fed. Sav. & Loan Ass’n v. Guerra, 208n90 Calandra v. U.S., 234n52 Califano v. Webster, 208n89 Campbell v. State Farm Mut. Auto. Ins. Co., 215n67, 216n71 Cannabis Case, 29, 190n176, 190n177, 190n183, 190n184, 190n186, 191n192, 205n12 Cannon v. Gladden, 247n132 Central Hudson Gas & Elec. Corp. v. Pub. Serv. Comm’n of N.Y., 60, 207n76, 208n81, 208n82, 208n86 Chavez v. Martínez, 111 Cheek v. U.S., 237n37 Chevron. See Lingle v. Chevron U.S.A., Inc. City of Boerne v. Flores, 83, 84, 178n23, 203n7, 224n190, 225n193, 225n196 City of Chicago v. Morales, 236n3 City of Cleburne v. Cleburne Living Center, Inc., 64, 204n2, 205n5, 221n150, 226n198 City of Kettering v. Hollen, 234n56 City of Monterey, 79 City of Monterey v. Del Monte Dunes at Monterey, Ltd., 79, 217n84 City of Riverside v. Rivera, 81, 82, 83, 221n156, 221n158, 222n161, 222n171, 223n177, 224n187 Clark v. Jeter, 205n8 Cleburne. See City of Cleburne v. Cleburne Living Center, Inc. Clement v. Cash, 199n45 Coker v. Georgia, 131, 132, 133, 239n10, 240n25 Cole v. Wodziak, 224n187 Colorado v. Bertine, 230–31n3 Commonwealth v. Heggenstaller, 152 Commonwealth v. Koczwara, 236n17 Conner v. State, 155

Cooper Indus., Inc. v. Leatherman Tool Group, Inc., 211n3, 211n5, 212n28 Coppage v. Kansas, 209n111 Corbitt v. New Jersey, 233n27 Cox v. Louisiana, 116 Craig v. Boren, 205n5 Crispoltoni v. Fattoria Autonoma Tabacchi, 193n245, 193n263 Crosby v. State, 246n115 Cruzan v. Dir., Mo. Dep’t of Health, 206n37 Dagenais v. Canadian Broad. Corp., 189n168 Davis v. Bendemer, 230n256 Davis v. City of Peachtree City, 236n17 Deck v. Missouri, 107 Delaney v. DeTella, 148 Denney v. Jenkens & Gilchrist, 200n88 Department of Agriculture v. Moreno. See United States Department of Agriculture v. Moreno Dickerson v. United States, 235n61 Dolan v. City of Tigard, 74, 75, 76, 77, 78, 79, 178n20, 203n6, 216n76, 216n79, 216n81, 217n100, 217n102, 217n103, 219n120, 219n126, 219n132, 220n142 Dorman v. United States, 231n9 Dotson v. Bell Atlantic-Md., Inc., 223n175 Duncan v. Louisiana, 114, 235n64, 235n67, 235n68 Edmonds v. Compagnie Générale Transatlantique, 46, 201n91 Ehrlich v. City of Culver City, 220n141, 220n142, 220n143 Eisenstadt v. Baird, 206n35 Enmund v. Florida, 239n10, 240n14, 240n15 Erickson v. Bd. of Governors, 226n198 Estelle v. Gamble, 147 Evra Corp. v. Swiss Bank Corp., 38, 39, 194n7 Ewing v. California, 138, 139, 140, 141, 142, 144, 145, 157, 159, 178n22, 242n63, 242n67, 247n133 Ex parte Durst, 232n24 Ex parte Lonardo, 233n26 Ex parte Thomas, 232n23 Exxon Co., U.S.A. v. Sofec, Inc., 195n14, 200n79

Case Index Farmer v. Brennan, 243n79 Farmers Export Co. v. M/V Georgis Prois, etc., 197n36 Farrar v. Hobby, 82, 83, 221n159, 224n187 Federal Communications Commission v. Beach Communications, Inc., 62 Fédération Charbonnière de Belgique v. High Authority, 192n245 Fedesa, 192–93n263, 194n269 First English Evangelical Lutheran Church of Glendale v. County of Los Angeles, 220n147 Florida Prepaid Postsecondary Education Expense Board v. College Savings Bank, 84 Florida v. Royer, 230n3 Ford v. Quebec (A.G.), 189n165 44 Liquormart, Inc. v. Rhode Island, 208n81 Freeman v. Pitts, 227n215, 227n224, 228n226, 228n227 Fromançais SA v. Fonds d’orientation et de regularisation des marches agricoles, 192n245 FTC v. Nat’l Lead Co., 201n102 Fuentes v. Wagner, 243n71 Furman v. Georgia, 239n13 Garner. See Tennessee v. Garner Garrett. See Board of Trustees of Univ. of Ala. v. Garrett Gerber v. MTC Elec. Tech. Co., 200n88 Gideon v. Wainwright, 114 Gingles. See Thornburg v. Gingles Gonzales v. Raich, 209n115 Graham v. Connor, 102 Graham v. West Virginia, 239n4 Grant v. McDonogh, 214n56 Gratz v. Bollinger, 205n18, 227n221 Greater New Orleans Broad. Ass’n, Inc. v. United States, 208n81 Green v. County School Board of New Kent County, 86, 227n211, 227n216 Gregg v. Georgia, 147, 240n14 Gregory Mktg. Corp. v. Wakefern Food Corp., 201n98 Grenier v. Compratt Constr. Co., 199n66 Grifﬁn v. California, 106, 107 Grifﬁn v. County Sch. Bd. of Prince Edward County, 227n212

279

Griswold v. Connecticut, 177n9, 177n11, 205n7, 205n9, 206n34, 206n35 Grutter v. Bollinger, 54, 55, 56, 205n16, 205n19, 227n221 Gudenkauf v. Stauffer Commc’ns, Inc., 224n187 Guminga. See State v. Guminga Gypsum. See United States v. U.S. Gypsum Co. Hadley v. Baxendale, 38 Halper. See United States v. Halper Hanover Shoe Inc. v. United Shoe Machinery Corp., 201n100 Harmelin v. Michigan, 137, 138, 139, 140, 141, 142, 144, 145, 146, 151, 156, 159, 204n14, 242n63, 242n70 Haromy v. Sawyer, 197n35 Harper. See Washington v. Harper Harris v. New York, 111 Hart v. Coiner, 135, 241n36, 242n63 Haslip. See Paciﬁc Mutual Life Insurance Co. v. Haslip Hayes. See State v. Hayes Heller v. Doe by Doe, 209n95, 209n96, 209n101 Hensley v. Eckerhart, 81, 82, 222n162, 222n170 Hercules, Inc. v. United States, 195n14 Hicks. See Virginia v. Hicks Hofer v. W.M. Scott Livestock Co., 196n34 Holbrook v. Flynn, 233n33 Holmes v. South Carolina, 233n28 Honda Motor Co. v. Oberg, 212n28 Hope v. Pelzer, 148 Hudson. See Hudson v. McMillian; Hudson v. United States Hudson v. McMillian, 149, 243n83, 243n84, 244n90 Hudson v. Michigan, 235n61 Hudson v. United States, 234n42, 234n45 Humphrey v. Wilson, 246n115 Hutto v. Davis, 134, 135 Illinois Brick Co. v. Illinois, 47, 201n100 Illinois v. Lafayette, 231n3 Illinois v. Lidster, 230n1 In re Activision Sec. Litig., 223n175 In re Foss, 241n36 In re Indus. Gas Antitrust Litig., 201n100 In re Lynch, 241n36

280

Case Index

In re Periandri, 232n23 In re Plywood Co. of Pa., 196n34 In re Simon II Litigation, 213n49 In re Welfare of C.R.M., 237n32 In re Winship, 119, 237n20 In re Worldcom, Inc., 200n88 International Ore & Fertilizer Corp. v. SGS Control Services, Inc. (I), 195n18, 195n19 International Ore & Fertilizer Corp. v. SGS Control Services, Inc. (II), 39, 40, 195n16, 195n17, 196n20 Internationale Handelsgesellschaft mbH v. Einfuhr- und Vorratsstelle fur Getreide und Futtermittel, 34, 193n250 Int’l Ore I. See International Ore & Fertilizer Corp. v. SGS Control Services, Inc. (I) Int’l Ore II. See International Ore & Fertilizer Corp. v. SGS Control Services, Inc. (II) Int’l Precious Metals Corp. v. Waters, 223n175 Int’l Salt Co. v. United States, 201n102 Jackson. See United States v. Jackson Jacob Siegel Co. v. FTC, 202n103 James v. U.S., 237n37 Johnson v. DeGrandy, 229n250, 229n251, 229n252 Johnson v. Ga. Highway Express, Inc., 222n165 Jones v. City of Los Angeles, 236n15 Kansas v. Hendricks, 233n40 Karcher v. Daggett, 229n238, 229n242 Kelley v. Bd. of Trustees, 229n232 Kelo v. City of New London, 220n150 Kennedy v. Mendoza-Martínez, 234n41 Kerr S.S. Co. v. Radio Corp. of Am., 195n15 Kimel v. Florida Board of Regents, 84, 225n198, 227n207 Korematsu v. Unites States, 205n19 Kothe v. R.C. Taylor Trust, 43, 199n56 Kovacevich v. Kent State University, 225n198 Lambert v. California, 116, 117, 236n7 Lamkins v. Int’l Harvester Co., 195n15 Lavia v. Pa. Dep’t of Corr., 226n198

Lawrence v. Texas, 65, 66, 176–77n8, 204n2, 250n160 Lebach Case, 30, 191n190, 191n202, 206n46, 206n50 Ledbetter Bros., Inc. v. NCDOT, 197n35 Lehnhausen v. Lake Shore Auto Parts Co., 209n98 Lincoln v. Case, 214n64 Lingle v. Chevron U.S.A., Inc., 79, 80, 217n83, 220n146, 221n151, 221n154 Liparota v. United States, 123 Lochner v. New York, 62, 63, 218n107 Lockyer v. Andrade, 140, 141, 144, 242n62, 242n63 Loeb Indus., Inc. v. Sumitomo Corp., 201n100 Los Angeles Memorial Coliseum Commission v. National Football League, 201n95 Loving v. Virginia, 206n31 Lucas v. Forty-fourth General Assembly of State of Colo., 229n237 Lynch v. Andrew, 197n35 Mahan v. Howell, 229n242 Malone. See People v. Malone Mannesmann v. High Auth., 193n255 Mapp v. Ohio, 235n61 Marassi v. Lau, 222n175, 223n176 Martin v. Leverette, 241n36 Maryland Dredging & Contracting Co. v. United States, 43 Mathews v. Eldridge, 113 McDermott, Inc. v. AmClyde and River Don Castings, Ltd., 45, 46, 200n84 McDonald v. United States, 98, 231n10 McIntyre v. Balentine, 200n75 Meyer v. Nebraska, 206n33 Microsoft. See New York v. Microsoft Corp. Mid-West Paper Prods. Co. v. Continental Group, 201n100 Migis v. Pearle Vision, Inc., 224n187 Miller. See People v. Miller Miranda v. Arizona, 110, 111, 235n59, 235n61, 235n66 Montreal Trading Ltd. v. Amax Inc., 201n100 Morales v. Tilton, 240n17, 240n18 Moreno. See United States Department of Agriculture v. Moreno Morrissette v. United States, 123

Case Index Nebbia v. New York, 63 Nev. Dep’t of Human Res. v. Hibbs, 225n198, 226n199 New York v. Microsoft Corp., 202n103 New York v. Quarles, 235n66 Newsome v. W. Union Tel. Co., 195n15 Nicaragua v. United States, 20, 183n77 Nixon v. Shrink Missouri Government PAC, 58 Nollan v. California Coastal Commission, 74, 75, 76, 77, 78, 79, 216n81, 217n85, 217n102, 218n107, 218n108, 219n121, 219n124, 220n133, 220n142 N.Y. City Transit Auth. v. Beazer, 209n100 Oakes. See R. v. Oakes O’Brien. See United States v. O’Brien Olff v. East Side Union High School District, 177n11 One Car, 1996 Dodge X-Cab Truck v. State, 244n102 Paciﬁc Mutual Life Insurance Co. v. Haslip, 69, 211n5, 211n8, 212n28, 214n61 Parking Ass’n of Ga., Inc. v. City of Atlanta, 221n154 Pasadena Board of Education v. Spangler, 87 Penn Central Transp. Co. v. New York City, 219n116 Pennsylvania v. Scott, 234n51 People ex rel. Sammons v. Snow, 233n26 People v. Antolovich, 152 People v. Bradley, 247n130 People v. Bullock, 156, 241n41, 246n122 People v. Davis, 246n127 People v. Decina, 124 People v. Fluker, 246n122 People v. Gaskins, 246n115 People v. Lewis, 246n125 People v. Lorentzen, 241n36, 246n122 People v. Malone, 152, 245n105 People v. McDonald, 246n122 People v. Miller, 246n124, 246n126 People v. Pourat, 245n105 People v. Ryan, 237n31 People v. Sharpe, 158, 159, 160, 246n123, 246n128, 247n130, 247n131 People v. Wisslead, 159, 160, 247n131 Perini Corp. v. Greate Bay Hotel & Casino, Inc., 195n15

Pierce v. Society of the Sisters of the Holy Names of Jesus & Mary, 206n33 Pike v. Bruce Church, Inc., 57, 58, 178n17, 206n48 Planned Parenthood of Southeastern Pennsylvania v. Casey, 55, 176n8, 206n39 Popovich v. Cuyahoga County Ct. of Common Pleas, 226n198 Portuondo v. Agard, 106 Pottinger v. City of Miami, 236n15, 236n16 Powell v. Texas, 118, 120, 131, 236n14 Priebe & Sons v. United States, 196n30, 199n65 Prosecutor v. Galic, 184n95, 184n97, 185n105, 185n109 Quebec Ass’n of Protestant Sch. Bds. v. Quebec (A.G.), 188n151 Queen v. Minister of Agriculture, Fisheries and Food and Secretary of State for Health, 192n245 R. v. Big M Drug Mart Ltd., 27, 189n156, 189n162 R. v. Butler, 189n160 R. v. Oakes, 27, 188n146, 189n155, 189n156, 189n157, 189n162, 190n169 R. v. Zundel, 27 Railway Express Agency, Inc. v. New York, 209n99 Rakas v. Illinois, 234n50 Ratzlaff v. U.S., 237n37 Reickenbacker v. Foster, 227n207 Reiten im Walde Case, 28, 29, 30, 190n180, 190n182, 190n184, 190n185, 190n186, 191n188, 191n191, 191n209, 205n24 Reliable Transfer. See United States v. Reliable Transfer Co. Reliance Ins. Co. v. Utah Dept. of Transp., 197n34 Reynolds v. Sims, 229n235 Rhodes v. Chapman, 147 Richmond v. J.A. Croson Co., 205n19 Ridgley v. Topa Thrift and Loan Ass’n, 196n34 Riggins v. Nevada, 233n35, 233n38 Rio Grande Valley Sugar Growers, Inc. v. Campesi, 197n34

281

282

Case Index

Rivera. See City of Riverside v. Rivera Roberts v. Colo. State Bd. of Agric., 228n232, 229n232 Robinson v. California, 117, 118, 131, 236n10 Robinson v. United States, 199n65 Rochin v. California, 206n36 Rock v. Arkansas, 105, 233n28 Roe v. Wade, 56, 177n11 Rogers v. Tennessee, 236n2 Romer v. Evans, 65, 204n2, 209n96 Roper v. Simmons, 132, 178n22, 179n30, 239n9, 240n14, 240n15, 240n16, 250n160 Rubin v. Coors Brewing Co., 208n81 Rummel v. Estelle, 134, 135, 137, 144, 240n24, 240n25, 241n34, 242n63 Sampson v. California, 230n1 Saunders v. Mullen, 214n56 Scott v. Illinois, 114, 235n66 Seidlitz v. Auerbach, 197n35 Sell v. United States, 107, 108, 233n36 Seminole Tribe of Fla. v. Florida, 225n196 Sharpe. See People v. Sharpe Shaw v. Reno, 230n254, 230n255 Sheppard v. Riverview Nursing Ctr., Inc., 224n187 Skinner v. Oklahoma ex rel. Williamson, 206n32 Skinner v. Railway Labor Executives’ Assn., 230n3 Smith. See Smith v. Doe; Smith v. the Queen Smith v. Doe, 234n42, 234n46 Smith v. the Queen, 167, 168, 242n69, 250n163 Solem v. Helm, 134, 135, 136, 137, 138, 139, 141, 142, 144, 146, 151, 153, 155, 157, 158, 159, 160, 178n22, 240n24, 241n37, 242n56, 245n104 Southwestern Telegraph & Telephone Co. v. Danaher, 211n10 Spain v. Procunier, 243n76 St. Louis, I.M. & S. Ry. Co. v. Williams, 211n7, 211n9 Stack v. Boyle, 103 Stanley v. Georgia, 177n11 Staples v. United States, 123 State ex rel. K. W. v. Werner, 234n48

State Farm. See State Farm Mut. Auto. Ins. Co. v. Campbell State Farm (98 P.). See Campbell v. State Farm Mut. Auto. Ins. Co. State Farm Mut. Auto. Ins. Co. v. Campbell, 69, 70, 72, 73, 74, 178n19, 203n5, 211n3, 212n30, 212n36, 212n37, 212n38, 214n56, 214n57, 214n60, 214n61, 214n62, 214n63, 214n65, 215n66, 215n69, 215n71, 216n72, 216n75, 216n76, 221n156 State of La. ex rel. Francis v. Resweber, 240n19 State Rubbish Collectors Ass’n v. Siliznoff, 213n52 State v. Amburgy, 232n17 State v. Berger, 246n115 State v. Davis, 246n115 State v. Fain, 241n36, 245n111 State v. Fakler, 234n56 State v. Guminga, 236n17, 236n18 State v. Hayes, 156, 246n121 State v. Holmes, 232n17 State v. Krol, 234n48 State v. Rewitzer, 245n104 State v. Venman, 245n110 Sterling v. Cupp, 245n112 Stewart v. Rhodes, 243n76 Sun Printing & Publishing Ass’n v. Moore, 42, 43, 198n45, 199n48 Sundance Cruises v. American Bureau of Shipping, 40, 196n23 Sw. Eng’g Co. v. United States, 196n34, 198n42 Swann v. Charlotte-Mecklenburg Board of Education, 86, 227n222 Tayloe v. Sandiford, 43, 44, 199n66, 199n67 Teague v. Lane, 234n52 Tennessee v. Garner, 101, 102 Tennessee v. Lane, 225n198 Terry v. Ohio, 98, 102, 177n11, 231n3, 231n4 Thompson v. Oklahoma, 250n160 Thomson Newspapers v. Canada (A.G.), 189n160, 190n173 Thornburg v. Gingles, 89, 90, 230n256 Timmons v. Twin Cities Area New Party, 176n4 Tison v. Arizona, 239n10

Case Index Tobe v. City of Santa Ana, 236n15, 236n16 Trammel v. Keane, 148, 244n89 Trop v. Dulles, 131, 243n75 Truck Rent-A-Center, Inc. v. Puritan Farms 2nd, Inc., 197n36 Turner Broad. Sys., Inc. v. F.C.C., 207n54, 207n61, 207n64 Turner v. Saﬂey, 243n73 TVT Records v. Island Def Jam Music Group, 213n51 TXO Production Corp. v. Alliance Resources Corp., 69, 72, 73, 214n57, 214n58, 214n59 United Airlines, Inc. v. Austin Travel Corp., 196n34 United States Department of Agriculture v. Moreno, 64, 221n150 United States R.R. Ret. Bd. v. Fritz, 209n97 United States v. 3814 N.W. Thurman St., 244n101, 244n102 United States v. Alexander, 150 United States v. Bajakajian, 150, 151, 152, 178n21, 203n9, 244n99, 245n105 United States v. Betancourt, 244n101 United States v. Bethlehem Steel Co., 42, 43, 198n43, 199n55 United States v. Carolene Products Co., 54, 177n12, 178n14, 209n93, 209n102, 209n115 United States v. Carroll Towing Co., 199n72 United States v. E.I. Du Pont de Nemours & Co., 202n103 United States v. Fordice, 228n228 United States v. Gonzalez, 247n133 United States v. Halper, 234n44, 234n45 United States v. Havens, 234n51 United States v. Heldeman, 244n101, 245n109 United States v. Hensley, 102 United States v. Jackson, 105, 106, 233n27 United States v. Lanier, 237n23 United States v. Leon, 234n49 United States v. Martínez-Fuerte, 231n3 United States v. Microsoft Corp., 48, 202n105 United States v. Morrison, 84 United States v. O’Brien, 59, 178n18, 206n53, 207n59, 207n62

United States v. Paramount Pictures, 201n102 United States v. Park, 236n17 United States v. Patane, 111 United States v. Place, 230n3 United States v. Reliable Transfer Co., 45, 46, 200n77, 200n85 United States v. Salerno, 232n20, 233n40 United States v. Sharpe, 231n3 United States v. Sokolow, 230n3 United States v. U.S. Gypsum Co., 48–49, 123, 201n102, 202n103, 202n107 United States v. Virginia, 178n16, 204n4, 208n87 United States v. Ward, 233n40 United States v. X-Citement Video, 123 Varner v. Illinois State University, 225n198, 226n198 Vieth v. Jubelirer, 205n6, 230n256 Village Council v. Gov’t of Israel, 178n26 Virginia v. Hicks, 59, 60, 207n68 Vitol Trading S.A., Inc. v. SGS Control Serv., 195n17 Vriend v. Alberta, 27 Washington v. Glucksberg, 176n6 Washington v. Harper, 108, 109, 233n35 Weaver v. Palmer Bros. Co., 209n112 Weems v. United States, 130, 131, 239n4 Welsh v. Wisconsin, 100, 101, 102, 231n11, 232n18 Wesberry v. Sanders, 229n233 Whitley v. Albers, 243n82, 244n91 Wilkerson v. Utah, 239n2, 240n19 Williams. See St. Louis, I.M. & S. Ry. Co. v. Williams Williams v. Benjamin, 244n90 Wilson. See Wilson v. Seiter Wilson v. Commissioner of Revenue, 245n103 Wilson v. Seiter, 243n78, 243n81 Wilson v. Shelby County et al., 232n18 Wilson v. State, 245n115 Wirth & Hamid Fair Booking v. Wirth, 197n35 Wise v. United States, 44, 199n47, 199n64, 209n95 Wisslead. See People v. Wisslead

283

284

Case Index

Witte v. United States, 242n56 Workman v. Commonwealth, 156 Wright v. McMann, 243n77 Zenith Radio Corp. v. Hazeltine Research, Inc., 201n94, 202n102

Zhang v. American Gem Seafoods, Inc., 215n71 Zimmerman v. Direct Federal Credit Union, 215n71 Zylberberg v. Sudbury (Bd. of Educ.), 232n18